Compliance Associate (New York, NY): Our client, an alternative investment management firm, is seeking a proactive and motivated Compliance Associate to join their legal team. This position will report directly to the General Counsel and Chief Compliance Officer.
Responsibilities:
- Assisting in the preparation of policies and procedures, code of ethics, and the 206(4)7 annual review process;
- Developing and implementing the firm’s compliance monitoring program, which includes daily monitoring of electronic communications and code of ethics monitoring;
- Assisting in the preparation of the firm’s various SEC, CFTC, NFA and foreign regulatory filings (e.g., Form ADV, PF, Form D, MiFID II);
- Reviewing investor subscription/transfer documents and completing related reviews (e.g., Bylaw 1101, Blue Sky);
- Researching lobbying and solicitation rules across different jurisdictions;
- Interacting with and providing support to investor relations, business development and operational professionals; and
- Monitoring ongoing legal and regulatory developments and assisting with the preparation of internal and external audits or examinations.
Qualifications;
- 2+ years of direct compliance experience, with familiarity and ongoing interest in regulatory compliance; knowledge of the Investment Advisers Act and the requirements of compliance under the Advisers Act (private funds experience strongly preferred);
- Excellent interpersonal and communication skills both oral and written; ability to prioritize and execute various tasks in a deadline-oriented environment;
- Exceptional organizational and multitasking ability with strong time management skills; and
- Advanced proficiency in Microsoft Office (e.g. Word, Outlook, PowerPoint and Excel).
