Credit focused, Asset Manager

Legal Associate, Connecticut

Legal Associate (Connecticut): Our client a credit-focused asset manager is looking to bring on a motivated and hungry legal professional to join their growing team. This new hire will be supporting the firm’s global legal and compliance team while working directly with both US and UK General Counsels. 

Key Points:

  • Opportunity for this individual to learn and train under knowledgeable mentors and gain access to all aspects of a firm’s legal and compliance program
  • Firm has been growing and offers a dynamic and stable platform 
  • GC/CCO appreciates feedback and learning opportunity; this new hire will be encouraged to stretch beyond their years of experience in order to keep learning 


  • Assist with day to day legal and compliance functions – depending on this individuals experience, this will include:
    • Entity Formation; review NDAs
    • Transaction support, review of contracts (Consultants, vendors, service providers)
    • Update legal entity tracker; ISDA onboarding
    • Trading counterparty onboarding
    • Coordinate document signing internally 
    • Review audit/tax engagement letters
    • Compile AML/KYC packs for new funds; Prepare form ADVs
    • Assist compliance with regulatory filings (ADV, CFTC, Form D, 13H, PF, Short selling)
    • Prepare regulatory filings, track, and file Lux/Cayman minutes
    • Manage director agreements for new entities; Maintain structure charts
    • Prepare and maintain ODD binders
  • Assist with the establishment and operation of the funds (legal entity formation and bank account opening, board meetings, review and negotiation of NDAs, service contracts and other contractual documentation)
  • Complete KYC on firm counterparties and manage basic information requests about the firm from third parties
  • Review specific bills and expenses while interfacing with Finance team regarding expense allocation policies, procedures, and records
  • Spearhead legal research on issues affecting the investment management industry (e.g., in relation to SEC and FCA rules and regulations)
  • Provide other ad hoc support as needed, and liaise with various internal groups (including Finance and Marketing/Investor Relations teams)


  • 1 – 4 years of relevant experience working in a legal or compliance role either at a law firm or in the investment management industry; J.D. is preferred or strong paralegal professional
  • Bachelors degree required with an excellent academic record; superior written and proof-reading skills with proven organizational and time management skills
  • Integrity and character are crucial to this hire as the successful candidate will be processing personal data and other highly confidential information; must be a true team player, comfortable and successful at operating within a dynamic and results-driven environment

Job Reference #1701

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