Credit focused, Investment firm

Legal and Compliance Associate, Connecticut

Legal and Compliance Associate (Connecticut): Our client, a credit focused investment firm with over $12B in AUM is looking to bring on a bright professional to join their legal and compliance team. This person will be joining a collaborative team, who prides themselves on the compliance culture they’ve helped build. The candidate of choice will be overseeing all legal and compliance functions as it relates to the firm and the funds it manages. 

Key Points: 

  • Newly created opportunity to join a team of 9 covering all areas of compliance under a talented GC and CCO 
  • Team is open to teaching and filling in any gaps in compliance knowledge that a candidate may have 
  • Firm boasts a collaborative culture that encourages team work in a fast paced environment 
  • Firm is actively growing in the credit space and recently launched a new BDC as well 


  • Provide support to the firm’s ’40 Act compliance program, monitoring and reporting requirements, SEC filings, board communications and meetings, in response to new regulatory requirement; coordinate with investment analysts on restriction/MNPI/cleansing issues
  • Review confidentiality, engagement, and other vendor agreements; review and approve the firm’s Code of ethics 
  • Provide support to Investor Relations, including review of earning calls/presentations, board packages, and quarterly review of other marketing materials; assist with the anticipated IPO of a BDC (business development company, managing the compliance manual, exemptive relief application and other documentation
  • Conduct compliance back testing and annual review of compliance program; prepare and file regulatory reporting
  • Draft memos on complex compliance questions and draft of policies and procedures; review investor due diligence questionnaires and other investor relations materials
  • Monitor public-private investment-related communications, including the firm’s morning meeting; provide counsel to litigation, document productions, regulatory inquiries/examinations, and subpoena responses


  • At least 3 years of relevant experience, ideally with a law firm, financial institution, regulatory agency, or compliance consulting firm; JD would be beneficial but not required
  • General legal experience or compliance experience working with private funds and other advisory clients subject to the Investment Advisers Act of 1940 and/or the Investment Company Act of 1940
  • Excellent interpersonal and communication skills; ability to work effectively under pressure in a fast-paced environment
  • Demonstrated professional demeanor and trustworthy with confidential and sensitive information; strong analytical skills, well organized, and ability to multi-task
  • Must be a self-starter, comfortable working autonomously and a quick learner

Job Reference #1665

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