Legal And Compliance Associate

Overview

• Support the legal and compliance functions in a dynamic investment management environment, ensuring adherence to regulatory standards and operational excellence.
• Collaborate on compliance initiatives, including policy updates, forensic testing, and trade surveillance to maintain organizational integrity.
• Manage vendor contracts, compliance diligence, and regulatory filings, contributing to the firm's robust compliance framework.
• Participate in mock audits, assist in drafting disclaimers, and review marketing materials for compliance accuracy.
• Engage with compliance software systems, addressing technical inquiries and ensuring seamless operational functionality.
• Work closely with a meritocratic team that values accountability, collaboration, and professional growth.
• Contribute to ad-hoc projects, showcasing adaptability and problem-solving skills in a fast-paced environment.
• Enhance your expertise in compliance processes and regulatory standards within the investment management sector.

Key Responsibilities & Duties

• Act as the primary contact for managing research and data vendor contracts, ensuring compliance and operational efficiency.
• Coordinate compliance diligence processes and maintain contracts within dedicated systems for streamlined operations.
• Perform trade surveillance and forensic testing to uphold regulatory standards and mitigate risks.
• Review and approve compliance-related disclosures, requests, and regulatory filings with precision and accuracy.
• Assist in drafting disclaimers and reviewing marketing materials to ensure compliance with industry regulations.
• Support mock audit examinations by gathering documents and collaborating with internal teams.
• Respond to Know Your Customer (KYC) inquiries and contribute to policy updates and compliance initiatives.
• Provide technical support for compliance software systems, addressing user inquiries and ensuring functionality.

Job Requirements

• Bachelor's degree in a relevant field from an accredited institution is required.
• Minimum of 3 years of experience in legal or compliance roles; 10 years preferred for senior-level expertise.
• Familiarity with the Investment Advisers Act and compliance processes is highly advantageous.
• Strong organizational, analytical, and communication skills to manage complex tasks effectively.
• Ability to work independently and collaboratively within a dynamic team environment.
• Experience with compliance software systems and regulatory filings is preferred.
• Detail-oriented mindset with a commitment to maintaining confidentiality and discretion.
• Proactive approach to learning new skills and adapting to evolving compliance requirements.