Legal and Compliance Associate

4 weeks ago


New York, United States $100Bn Global Investment Firm Full time

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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