Legal and Compliance Senior Analyst

2 weeks ago

San Francisco, United States Atlantic Group Full time

Location: San Francisco, California

Compensation: $110k-$145k + Bonus


Responsibilities:

  • Assist with a wide variety of regulatory, corporate, fund and investment compliance matters across various strategies.
  • Draft, implement, maintain, and test compliance policies and procedures and support the team in implementing these policies and procedures to address new business practices or regulatory changes (e.g., CTA, etc.).
  • Assist with preparation and completion of annual compliance risk assessment and the annual compliance review.
  • Assist with administration of the firm's Code of Ethics, including trade approvals, trade review, affirmation approvals, quarterly transaction reporting and annual attestations.
  • Assist with legal and compliance risk mitigation strategies (e.g., data privacy, MNPI, etc.) across multiple disciplines (e.g., client contracts, operational systems, and compliance).
  • Materially assist in the preparation of regulatory filings (Form ADV, Form PF, Forms 13G, 13H and 13F, Treasury Filings, CFTC filings, state “Blue Sky” filings and others).
  • Review and approve external communications, marketing, and business development materials, including social media, events, website, DDQs and RFPs.
  • Assist with general KYC/AML requests from third parties.
  • Assist with regulatory audits, inquiries, and subpoenas.


Qualifications:

  • 2+ years of experience in in-house legal and/or compliance department (JD from an accredited law school is a plus)
  • Knowledge of the Investment Advisers Act of 1940 and its related rules and regulations, as well as broad knowledge of financial industry compliance programs
  • Strong time management, planning and organizational skills.
  • Ability to work independently but also collaborate in a team-oriented, cross functional and fast paced environment.
  • Strong communication skills.

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