Investment Advisory Firm

Paralegal/Compliance Associate, New York, NY

Paralegal/Compliance Associate (New York, NY): Our client, an investment advisory firm with north of $15 billion in AUM, is eager to bring on an experienced professional to join their legal team. This new hire will focus on the creation and maintenance of private funds and other general corporate and compliance matters.


Key Points: 

  • Firm prides itself on deep research and understanding of their investment space and on staying at the forefront of technology 
  • This is a newly created position due to the growth of the company; there is no shortage of exposure and work for this new hire to take on 
  • Team is big on internal mobility and career growth 
  • Cultural fit isextremely important and they look for driven, collaborative team members 


  • Assist with the formation and administration of entities (such as operating agreements, formation certificates, and board resolutions); set up custody and bank accounts 
  • Review investor subscription documents and ensure accuracy and consistency of responses 
  • Maintain onshore and offshore private funds, specifically hedge and private equity style funds; assist with preparing board materials and agendas prior to board meetings
  • Coordinate legal closings of new private investments funds; assist with overseeing compliance policies and procedures, preparing regulatory filings and other compliance matters
  • Assist with investor side letter requests (track, monitor and maintain side letters); draft investor transfer documents and assist with otherad hoc projects


  • 2+ years of relevant experience as a corporate paralegal, legal assistant or compliance associate with a focus on hedge funds or private equity funds (in-house experience at a registered investment advisor preferred); bachelors degree
  • Knowledge and exposure of hedge fund/private equity fund formation processes, compliance policies and procedures, investor subscription and transfer documentation; experience with regulatory filings (SEC and CFTC) is a plus
  • Ability to work independently as well as in a team environment; excellent written and communication skills and acute attention to detail
  • Must be able to work in a high-pressureenvironment with the ability to handle multiple items at once

Job Reference #1538

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