Regulatory and Compliance Legal Associate
4 weeks ago
Compliance and Regulatory Legal Associate needed for a growing private equity company that manages over $30B in capital. The company has experienced unprecedented growth and is expanding its compliance program.The Compliance and Regulatory Legal Associate will work closely with the legal and compliance team and have responsibility for:
- Supporting Chief Legal and Compliance Officer to manage compliance program.
- Conduct risk assessments and assist the Director of Compliance with annual and periodic testing activities related to annual compliance review, including front-running, and expert network testing;
- Working collaboratively with other team members to build out third-party service provider risk management systems, and leading initial and periodic diligence with respect to critical third-party service providers.
- Enhancing and managing existing AML and KYC policies and procedures, and responding to AML and KYC requirements from limited partners, portfolio companies and contract counterparties;
- Assist with trade clearance and review procedures, including best execution analysis, review of front-end trading systems, and evaluating, testing and upgrading trade activities and procedures over time.
- Assist with regulatory investigations and inquiries, including SEC and FINRA.
The company offers a dynamic leadership team, collaborative culture and comprehensive compensation. Interested candidates please email resumes directly to chinetta.foster@roberthalf.com and claire.marshall@roberthalf.com.
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Regulatory and Compliance Legal Associate
4 weeks ago
Chicago, United States Robert Half Full timeCompliance and Regulatory Legal Associate needed for a growing private equity company that manages over $30B in capital. The company has experienced unprecedented growth and is expanding its compliance program.The Compliance and Regulatory Legal Associate will work closely with the legal and compliance team and have responsibility for:Supporting Chief Legal...
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In-House: Legal Counsel
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Chicago, United States McCormack Schreiber Legal Search Full timeAbout the Position:We are working with a global private markets investment manager that has an immediate need for a regulatory and compliance attorney to join as a Legal Counsel in Chicago or New York. This person will be responsible for the client’s legal/regulatory activities in the UK and EU markets including fund formation and private offerings,...
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