Location: Midtown Manhattan (Hybrid)
Compensation: $200k-$250k base + bonus
Job Description
The Legal and Compliance Department consists of the General Counsel, the Chief Compliance Officer, Associate General Counsels, and several paralegals, legal assistants and compliance professionals. The Legal and Compliance Department coordinates, oversees, and handles all legal, regulatory and compliance issues globally.
Key compliance responsibilities and tasks will include the following:
- Analyze legal and regulatory changes, designing new policies and procedures to mitigate risks and leading regulatory change management process in partnership with operations and investment teams. Execute, monitor and test policies and procedures
- Assist with administering Firm s compliance policies, focusing on areas such a personal trading, insider trading, pay-to-play, gifts and entertainment and political contributions
- Advise investment team on regulatory compliance matters, including conflicts of interest, investment allocation, information sharing (public and private), and fund governance
- Prepare and supervise a variety of regulatory filings with the SEC and other international regulatory bodies, in collaboration with operations and finance teams
- Enhance and maintain effective trade surveillance program to ensure compliance with relevant legal and regulatory requirements as well as internal allocation policies and procedures
- Coordinate compliance training initiatives and materials for employees globally
- Responsible for periodic compliance testing and reviews to ensure policies and procedures are working effectively
Requirements
- Bachelor s degree required. Post graduate degree (JD or MBA) a plus but not required
- 8+ years of compliance related work experience
- Solid knowledge of relevant SEC regulatory requirements related to the Investment Advisers Act of 1940, the Securities Act of 1933, and the Securities Exchange Act of 1934 and the rules and regulation thereunder