Legal and Compliance Associate

Greenwich, CT

Job Reference #1795

Our client, a successful investment advisor with over $40B AUM, is seeking an experienced and motivated Legal and Compliance Associate to join their team. This new hire will work directly with the Chief Compliance Officer on a team of 4.

Key Points

  • Newly created role working directly with the CCO and a team of attorneys 
  • CCO is excited to be a mentor and grow this person’s skill set 
  • Exposure to all groups internally, they encourage collaboration and a positive compliance culture 
  • Firm runs lean (only 70 employees) and everyone has a voice 

Responsibilities

  • Assist in ongoing development and implementation of all compliance policies and procedures
  • Provide support with legal and compliance matters regarding the fund formation process
  • Assist in managing policies related to confidential information
  • Assist in regulatory filings and requests
  • Review contracts and agreements with outside vendors and ensure compliance with Firm’s policies and procedures
  • Monitor litigation issues and assist where necessary
  • Serve as an internal resource for employees on compliance policies and procedures

Qualifications

  • Bachelor’s degree and strong academic record; JD is a plus but not required
  • At least 3 years or relevant legal and compliance experience at a law firm or in-house
  • The ability and confidence to communicate effectively and with all levels of management
  • Motivated, proactive attitude and a willingness to learn