Investment Advisory Firm

Legal and Compliance Associate, New York, NY

Legal and Compliance Associate (New York, NY): Our client, an investment advisory firm with north of $10b in AUM, is looking to hire a legal and compliance professional to join their team in a newly created capacity.  The candidate of choice will be the third person on this lean and efficient team and will gain responsibility for a wide range of regulatory, legal and compliance duties. 


Key Points:

·       Organization is highly regarded in the industry as one that hires the best and retains its talent

·       The two more senior members of the legal and compliance team are encouraging of this individual

·       Everyone within the organization sits on the trading floor highlighting the lack of office politics

·       Unique opportunityto work in a small firm and team offering this person indirect access to the CEO and senior investment professionals


·       Conduct frequent compliance testing and assist with summarizing annual review in accordance to the requirements under Rule 206(4)-7 of the Advisers Act; coordinate with outside legal counsel on issues, communicating said issues to the team as necessary 

·       Analyze and propose new laws and regulations to properly identify those which may impact the firm’s business; assist with revising the firm’s policies and procedures 

·       Draft, negotiate and monitor non-disclosure agreements, vendor contracts and other legal agreements; assist with the development and implementation of appropriate policies and procedures (training and monitoring)

·       Review client materials; schedule and organize various board and committee meetings with senior members of the firm 

·       Prepare and submit required federal, state and foreign regulatory filings (Form ADV, Form PF, 13F, 13H, FATCA); assist with new advisory client on-boardings


·       2-4 years of relevant experience within the financial industry; strong academic pedigree

·       Excellent interpersonal and collaborative skills with the ability to work effectively in a team-based environment; working knowledge of Microsoft Word, PowerPoint and Excel 

·       Strong interest in learning and expanding current skill set related to Legal and Compliance; ability to prioritize multiple tasks with excellent attention to detail 

Job Reference #1339

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