Investment Advisor

Legal and Compliance Associate , New York, NY

Legal and Compliance Associate (New York, NY): Our client, an investment advisory firm with $2B in AUM, is looking to hire a legal and compliance professional to join their General Counsel/Chief Compliance Officer in a newly created capacity.  This is a unique opportunity to get in on the ground floor with a rapidly growing hedge fund and learn all areas of the business. 


Key Points:

·       Opportunity to join a seasoned GC/CCO and be trained in all areas of compliance 

·       Founders are young and have a lot of growth plans for the business  

·       Money is locked up for at least 1-2 years 

·       Excellent training ground 

·       Firm has excellent benefits (100% paid for healthcare and free lunch) 


·       Assist the GC/CCO in administering various aspects of the firm’s compliance program, including maintaining the firm’s restricted list, performing portfolio trading reviews, reviewing employee access to data rooms, monitoring the firm’s expert network procedures, reviewing personal trading accounts; administer and maintain the firm’s logs and records in relation to the foregoing

·       Assist the GC/CCO in updating the firm’s policies and procedures, assist the GC/CCO in training new employees and conducting on-going compliance training programs for existing employees; assist the GC/CCO in administering various aspects of the firm’s cybersecurity policy

·       Assist the firm in regulatory matters examinations and other legal regulatory matters as they arise. Assist in various ongoing regulatory filings, such as ownership reports, blue sky filings, 13D, ADV, 13F and Form PF; maintain minutes for various committee meetings

·       Assist the GC/CCO in maintaining the firm’s legal documentation:

o    Developing and maintaining a database of the firm’s trading documentation (ISDAs, PB agreements and other related trading documentation). Assist the GC in developing a matrix of key terms related to the firm’s trading documentation.

o    Maintaining the firm’s documentation related to entity governance, including entity formational and governance documentation, such as certificates of formation, limited partnership agreements, private placement memoranda, etc.

o    Maintaining the firm’s documentation related to investor side letters and assist in checking compliance with side letters

o    Assist in checking ERISA ownership on a periodic basis


·       A bachelor’s degree and minimum of 1 year of relevant work experience in the financial industry; strong interest in learning or expanding current skill set related to Legal and Compliance matters

·       The GC/CCO is committed to providing training and mentorship to the candidate; quick learner who is comfortable being in a lean team at a fast-paced start-up

·       Acute attention to detail and extremely strong organizational skills; ability to juggle several projects and deal with individuals at all organizational levels in various roles

·       Excellent interpersonal and communication skills


Job Reference #1360

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