Legal And Compliance Associate

Overview

• Support and enhance the legal and compliance program within a dynamic investment management environment.
• Manage contract-related processes, including vendor coordination and compliance diligence.
• Conduct forensic testing, trade surveillance, and maintain compliance calendars.
• Assist with regulatory filings, marketing material reviews, and drafting disclaimers.
• Participate in mock audit examinations and policy document updates.
• Respond to Know Your Customer (KYC) requests and collaborate on ad-hoc projects.
• Work with compliance software and address technical inquiries.
• Engage with a meritocratic team that values accountability and learning.

Key Responsibilities & Duties

• Act as the primary contact for research and data vendor contracts.
• Coordinate compliance diligence and manage contracts within a dedicated system.
• Perform trade surveillance and forensic testing to ensure compliance.
• Review and approve compliance-related requests and disclosures.
• Assist in regulatory filings and draft disclaimers for marketing materials.
• Support mock audit examinations and document gathering processes.
• Collaborate on policy updates and respond to KYC inquiries.
• Liaise with employees on compliance software-related issues.

Job Requirements

• Bachelor's degree from an accredited institution is required.
• Minimum of 3 years of experience in legal or compliance roles.
• Preferred familiarity with the Investment Advisers Act and compliance processes.
• Strong organizational, analytical, and communication skills are essential.
• Ability to work independently and collaboratively within a team.
• Comfortable handling confidential and sensitive matters with discretion.
• Experience with compliance software and regulatory filings is advantageous.
• Detail-oriented and willing to learn new skills and responsibilities.