Compliance Analyst

Overview

• Support the Legal Department in ensuring compliance with regulatory requirements under the Investment Advisers Act of 1940 and Investment Company Act of 1940.
• Assist with legal inquiries and provide administrative support to the Legal Department, reporting directly to the Chief Legal Officer.
• Coordinate regulatory filings such as Form 13F, Form 13H, Schedule 13G, and other required documentation.
• Support updates to annual registration statements, including disclosures, comments, and documentation preparation.
• Arrange sub-custody account openings in various jurisdictions and maintain overseas entity registrations.
• Coordinate class action litigation filings and assist with insurance policy renewals and reviews.
• Provide support for new product launches, including mutual funds and private investment products.
• Assist with administrative tasks such as calendar management, travel coordination, and document preparation.

Key Responsibilities & Duties

• Prepare and file regulatory documents including Form 13F, Form 13H, and Schedule 13G.
• Update annual registration statements and coordinate comments with auditors and fund counsel.
• Arrange sub-custody accounts in various jurisdictions and maintain compliance for overseas entities.
• Coordinate the preparation and delivery of adviser and fund board books.
• Support class action litigation filings and immigration petitions with legal counsel.
• Assist in the renewal and review of insurance policies and restricted trade communications.
• Provide administrative support including calendar management, travel arrangements, and meeting preparation.
• Collaborate with the Legal Department on new product launches and compliance initiatives.

Job Requirements

• Bachelor’s Degree in a relevant field is required.
• Minimum of 3 years of paralegal experience within the financial services industry, investment management preferred.
• Basic understanding of the Investment Advisers Act of 1940 and Investment Company Act of 1940.
• Proficiency with Microsoft Office and Excel; experience with Diligent BoardBooks and EDGAR is a plus.
• Strong organizational skills and ability to manage high volumes of work under tight deadlines.
• Effective communication and professional interaction skills.
• Experience working with financial printers and handling complex documentation processes.
• Ability to work independently and collaboratively in a team-oriented environment.