Opportunities

 

Private Equity

Legal and Compliance Analyst, San Francisco, CA

Legal and Compliance Analyst (San Francisco, CA): Our client, a private equity firm with north of $4B in AUM, is looking to hire a legal and compliance professional to join their team.  The candidate of choice will directly support the Chief Compliance Officer and General Counsel, gaining responsibility for a wide range of regulatory, legal and compliance duties. 

 

Key Points:

  • Opportunity to join a thriving Private Equity/Venture Capital firm in San Francisco
  • New hire will report to the GC and CCO who are excited to mentor and drive this individual’s career forward
  • The firm is actively fundraising, is incredibly stable and continuously growing
  • Opportunity to take on all aspects of legal and compliance, and collaborate closely with investment, finance, and HR

Responsibilities:

  • Coordinate the management of legal structures and entities, including entity formation and dissolution, and maintaining structure charts
  • Creation and ongoing review and maintenance of entity structure charts
  • Maintain documentation and files relating to entities (including certificates of formation, LPAs, PPMs, Purchase Agreements, PPMs, Registers of Members, etc.)
  • Coordinate requests and manage execution process of Non-Disclosure Agreements and deal documents (handling and distributing signature pages)
  • Assist in legal transactional matters including coordinating closing documents and checklists, and preparing Escrow releases
  • Work closely with outside counsel and the Chief Compliance Officer to complete routine compliance filings and manage, implement, and maintain all aspects of the compliance program
  • Coordinate with compliance consultant to facilitate annual compliance testing
  • Oversee the firm’s Code of Ethics (political contributions, pay-to-play, personal trading policy)
  • Facilitate new hire compliance trainings; maintain restricted and watch lists
  • Coordinate with the Finance, Deal and Investment teams on documentation management
  • Work on ad hoc projects and compliance monitoring activities

Qualifications:

  • Undergraduate degree required; JDs welcome
  • Minimum of 2 years compliance and/or paralegal experience at an asset manager
  • Private Equity or Venture Capital experience a plus
  • Advanced proficiency with Microsoft Office and Microsoft Outlook
  • High level of professionalism, attention to detail, and intellectual curiosity
  • Ability to work well across departments and with all levels of internal management
  • Ability to manage external stakeholder relationships
  • The ideal candidate will be proactive, a self-starter, and interested in finding work efficiencies and improving processes

Job Reference #1556

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