Our client, a $10B multi-strategy asset manager, has a newly created position within their legal and compliance team. This individual will be the working with four individuals that our team knows extremely well – they are fantastic. The business is complex and has intriguing investments, so this is an ideal opportunity for a junior legal/compliance professional to gain exposure to their entire business under tremendous leadership.
Key Points
- The GC/CCO is intelligent, committed to his team, even-keeled and overall wonderful
- The three other members of legal and compliance are individuals we’ve placed within the organization and know well – they are bright, supportive, kind, and excited to help onboard this new hire
- Incredible exposure to all aspects of compliance functions
- Exposure to both public and private investment markets
Responsibilities
- Participate in preparing regular investor reports
- Work with the team to prepare for regular compliance reviews, exams and certifications
- Collect, draft and distribute data related to regulatory filings and disclosures
- Collaborate with the legal team to respond to AML/KYC requests
- Gather information for the annual compliance review and mock SEC exams
- Assist in administering the Code of Ethics to all employees
- Manage the compliance calendar, oversee vendor due diligence, monitor employee compliance and assist with employee compliance training
- Monitor changes in industry regulations and policies and adjust compliance program as necessary
Qualifications
- Bachelor’s degree and at least 3-5 years of relevant compliance or in-house legal experience
- Working knowledge of industry regulatory requirements
- Familiarity with private fund structures and governance required
- Ability to handle confidential data appropriately
- High attention to detail, strong organizational skills and the ability to excel in both a group and autonomous capacity
Compensation: $110-155K all-in