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Legal and Compliance Associate
3 months ago
Firm: $100Bn Global Investment Firm
Title: Legal and Compliance Associate
Location: New York City / Midtown
Hybrid: 4 days a week, 1 day WFH
Compensation: $130-150k base + bonus
Our Client is actively looking for a Compliance Analyst to join their team in NYC 4 days a week. This role offers an opportunity to engage with a variety of business teams, providing support on a wide range of regulatory, corporate, and investment compliance matters.
What You’ll Do:
- Administer the firm’s Code of Ethics, handling trade approvals, reviews, and reporting
- Assist in drafting, maintaining, and testing compliance policies
- Support the preparation and completion of the annual compliance risk assessment and review
- Review and approve external communications and marketing materials
- Assist in preparing regulatory filings, (Form ADV, Form PF, Forms 13G, 13H, 13F)
- Aid in legal and compliance risk management, focusing on areas like data privacy and material non-public information (MNPI)
- Provide assistance during regulatory audits and inquiries
- Respond to KYC/AML requests from third parties
Qualifications:
- 3-8 years of experience in compliance or legal roles within investment advisory, hedge funds, private equity, or asset management.
- Strong understanding of the Investment Advisers Act of 1940 and its regulations
- You are organized, able to manage multiple tasks effectively in a fast-paced environment
- Excellent communication skills, both written and verbal
What We Offer:
- Comprehensive health benefits, including medical, dental, and vision insurance
- Life and disability insurance, as well as wellness benefits, including mental health support and fertility assistance
- A matching 401(k) program
- Commuter benefits and wellness stipends
- A hybrid work environment with four days in the office and one day working from home
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