Asset Management, Private Equity

Legal & Compliance Assistant, New York, NY

Legal & Compliance Assistant (New York, NY): Our client, a successful asset management firm with private equity investments, is looking to expand their team by onboarding a bright and motivated professional to join their NYC team.  This new hire will be primarily focused on supporting the regulatory, legal and compliance functions.


Key Points:

  • Opportunity to work for a diverse asset manager in a true generalist capacity
  • Team hires intelligent, hardworking, and driven individuals – this new hire will be surrounded by excellence
  • Excellent learning opportunity for a paralegal interested in gaining robust in-house legal experience ahead of attending law school


  • Spearhead the firm’s document management system, including execution process and maintenance of legal documentation; review contracts and trading account-opening documentation
  • Participate with periodic compliance testing and review of personal trading and email surveillance; perform other ad-hoc compliance-related duties and special projects
  • Prepare regulatory filings required by the SEC and FCA; manage the firm’s compliance system and recordkeeping (certification review, employee compliance requests/reporting, gifts & entertainment and political contributions)
  • Conduct KYC/AML responses to counterparties while managing regulatory databases as it relates to trading counterparties; assist with the implementation of compliance policies and procedures
  • Assist with overseeing due diligence of the firm’s service providers; monitor employee trading activity 


  • 1 – 3 years of relevant experience within a similar function, legal and/or compliance experience within a top law firm or asset management firm is ideal; bachelors degree with strong academic achievement
  • Discretion with sensitive and highly confidential matters is paramount; experience in the securities is preferred
  • Exceptional attention to detail with a strong written and interpersonal communication skills; must possess a strong sense of ownership and personal accountability
  • A desire to operate with a bright group of individuals, within a fast paced yet loyal culture

Job Reference #1557

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