Investment Advisor

Paralegal, New York, NY

Paralegal (New York, NY): Our client, an Investment Advisor with north of $4 billion in AUM, is looking to bring on a bright and motivated legal and compliance professional to join their team in NYC. This new hire will report to the General Counsel and the Chief Compliance Officer, two individuals who are keen on providing guidance to this new hire.


Key Points:

·       Senior management consists of pioneers in the space and have a tremendous amount of knowledge

·       Firm has been around for several years and has hit a “growth spurt” due to their success and track record

·       Individual will have the opportunity to work with both the GC and the CCO across all areas of their legal and compliance program

·       Company offers agreat work/life balance; additionally, there is an ability to work from home one day per week is a possibility


·       Prepare various documents such as fund offering documents, and assist with electronic filings made with the U.S. Securities and Exchange Commission, the National Futures Association and other relevant regulatory bodies; assist in reviewing marketing materials for compliance with the U.S. securities laws, including the Investment Company Act of 1940 and the Investment Advisers Act of 1940

·       Prepare and maintain compliance calendars for projects, including anticipatory regulatory filings and regular items on the agendas for Boards of Trustees; proofread documents and prepare materials for boards of trustees meetings

·       Conduct research for federal and state securities laws and suggest the appropriate manner to apply such knowledge to daily tasks; prepare and update compliance materials including (training materials for staff, completion of due diligence questionnaires to service providers, and reports to the boards of trustees)

·       Interface with various team members and coordinate responses to various inquiries from service providers, clients and clients’ counsel; prepare first draft of memoranda and other communications for internal use


·       2-4 years of relevant experience and a bachelors degree from an accredited university; experience with the Investment Company Act of 1940 and the Investment Advisers Act of 1940 a plus

·       Strong organizational and communication skills; acute attention to detail and ability to prioritize various tasks with demanding deadlines

·       Ability to maintain strict confidentiality of company and client affairs; must be able to work efficiently in a team-based environment

·       Familiarity with investment companies, particularly exchange-traded funds, a plus; self-starter who can immediately begin to contribute to ongoing projects and tasks

Job Reference #1353

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