Legal And Compliance Associate

Overview

• Provide legal and regulatory guidance for private and registered investment funds.
• Collaborate with senior leadership on strategic initiatives in a growing platform.
• Focus on compliance with key regulatory frameworks like the Investment Advisers Act.
• Support fund formation, governance, and operations for structured credit products.
• Advise on marketing and distribution of fund interests domestically and internationally.
• Develop and maintain policies and procedures in collaboration with compliance teams.
• Monitor regulatory developments and advise on legal risks and opportunities.
• Manage relationships with external counsel and service providers effectively.

Key Responsibilities & Duties

• Provide day-to-day legal support to investment, operations, and compliance teams.
• Advise on compliance with securities laws, including the Investment Company Act.
• Support structuring, formation, and management of investment funds and credit products.
• Review and negotiate fund documentation, including offering memoranda and agreements.
• Assist with compliance analysis of conflicts, trade restrictions, and governance matters.
• Provide guidance on regulatory considerations for fund marketing and distribution.
• Collaborate with compliance teams to develop and maintain robust policies.
• Monitor regulatory developments and advise on legal risks and opportunities.

Job Requirements

• J.D. from an accredited law school and admission to a U.S. state bar.
• 4-6 years of legal experience in credit-related fund strategies.
• Strong knowledge of the Investment Advisers Act and Investment Company Act.
• Experience with private fund formation and credit-related investment documentation.
• Familiarity with SEC compliance requirements and regulatory filings.
• Excellent drafting, negotiation, and analytical skills.
• Ability to work independently and collaborate across business teams.
• Preferred experience at a leading law firm or asset manager.