Legal & Compliance Analyst

3 weeks ago

Menlo Park, United States Larson Maddox Full time

Larson Maddox is partnered with a private investment firm looking for a Legal & Compliance Analust to report to the General Counsel / Chief Compliance Officer (GC/CCO).


Essential Duties and Responsibilities:

  • Maintain and organize internal compliance books and records.
  • Retain distribution records of client documents evidencing reviews and approvals.
  • Coordinate regulatory filings pursuant to requirements, including Form ADV and Section 13 filings.
  • Assist in the review and approval of all offering and subscription documents with respect to our funds.
  • Monitoring compliance with the firm’s policies and procedures. Conduct continuous rolling audits of the firm’s practice to ensure compliance with all policies and procedures.
  • Maintain annual log of SEC Exam Priorities and Risk Alerts including Firm response.
  • Assist in the drafting of compliance reports and memorandums to files for any unique compliance related situations. Responsible for filing and organization of all such files.
  • Coordinate compliance program annual review with outside compliance consultants.
  • Support SCP’s compliance, training, and testing calendars, including:
  • Prepare and conduct compliance testing.
  • Coordinate the various committee meetings.
  • Assist in developing training materials and presentations.
  • Annually update the required changes in the firm’s Compliance Manual and Code of Ethics, update Polices & Procedures and document in material changes log.
  • Work with the Offshore Directors to schedule bi-annual BOD calls.
  • Custody – Audited Financials – Custody Rule 206(4)-2 maintain testing and stay on top of required deadlines.
  • Point Person for receiving Shareholder information (proxies, letters, 10K, 10Q); responsible for electronic filing and when documents received via hard copy to sign up for electronic delivery; track proxy vote dates in log; prepare proxies for votes
  • Point of contact for updating authorized traders, maintain files.


Qualifications/Experience:

  • 2+ years’ administrative professional experience.
  • JD strongly preferred
  • relocation provided
  • Strong computer skills (Excel, Word, and PowerPoint).
  • Experience with ComplianceAlpha, MyCompliance Office, or other compliance administration technology.

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