Legal And Compliance Analyst

Overview

• Join a prominent financial services firm to ensure regulatory compliance and support legal operations in a dynamic environment.
• Contribute to the preparation and filing of essential regulatory documents with precision and timeliness.
• Collaborate on maintaining and updating annual registration statements and compliance disclosures effectively.
• Coordinate international account openings and oversee global entity registrations for seamless operations.
• Support the development and launch of innovative investment products and funds with compliance assurance.
• Provide administrative assistance to the legal team, including scheduling and document preparation.
• Work closely with immigration counsel to manage visa and work authorization processes efficiently.
• Assist in managing insurance policies and coordinating legal matters such as class action filings.

Key Responsibilities & Duties

• Prepare and submit regulatory filings, ensuring compliance with industry standards and deadlines.
• Update and review annual registration statements, coordinating feedback and revisions effectively.
• Facilitate international account setups and maintain overseas compliance registrations.
• Compile and deliver board books and reports to directors and trustees with accuracy.
• Support the launch of new investment products, ensuring compliance and operational readiness.
• Provide administrative support, including managing schedules and preparing meeting materials.
• Collaborate with immigration counsel on visa and work authorization filings seamlessly.
• Coordinate insurance policy renewals and assist in managing legal compliance matters effectively.

Job Requirements

• Bachelor’s degree required, preferably in a related field such as finance or law.
• Minimum of 3 years of experience in legal or compliance roles within financial services.
• Understanding of the Investment Company Act and Investment Advisers Act.
• Proficiency in regulatory systems such as EDGAR and Diligent BoardBooks preferred.
• Strong skills in Microsoft Office Suite, particularly Excel.
• Ability to manage multiple tasks under tight deadlines with precision.
• Excellent communication skills and ability to work collaboratively in a team environment.
• Preferred experience with financial printers and handling regulatory filings.