Legal & Compliance - Funds & Trading Specialist

2 weeks ago

New York, United States Atlantic Group Full time

Location: NYC (Hybrid)

Compensation: $125k-$175k base + bonus ($40k-$75k)


Overview:

The Funds and Trading Specialist will collaborate closely with various teams within the Legal and Compliance Department and across the firm, focusing on legal and compliance matters related to funds and trading. This person will assist the Funds and Trading attorneys with tasks like global position filings and document management. Additionally, the person in this position will contribute to special projects, such as adopting new technologies and enhancing processes, while staying updated on legal and regulatory changes. The role involves direct interaction with internal teams like IR, Trading, and Treasury, as well as external stakeholders such as brokers and outside counsel. Vigilance, attention to detail, and responsiveness to time-sensitive requests are essential.


Specific responsibilities may include, but are not limited to:

• Oversee the timely submission of position filings on a global scale, covering various regulatory requirements such as Schedules 13G/D, Section 16, UK/EU short positions, MiFID II transaction reporting, Form PF, and TIC/BEA filings.

• Act as the central liaison for vendor contract requests and negotiations pertaining to trading documentation, and manage associated document administration.

• Offer compliance support for trading activities, including monitoring shares outstanding and pre-filing thresholds to ensure regulatory adherence.

• Coordinate responses to information requests, particularly in international markets where the firm holds trading licenses, such as China and India.

• Assume responsibility for initial lobbyist registrations and subsequent filings in relevant jurisdictions.

• Facilitate the establishment of new legal entities and develop their foundational governing documents.

• Assist the Private Investments team with KYC procedures and related inquiries, while also contributing to various spontaneous tasks linked to the firm's private equity and structured capital investment strategies.


QUALIFICATIONS

The ideal candidate will have:

• An undergraduate degree with a record of academic success.

• 4+ years of experience in a similar role with an asset manager, investment bank, or other financial services firm.

• Strong attention to detail and project management skills.

• Excellent organization and communication skills.

• Proficiency with Bloomberg and Microsoft Office suite (Outlook, Excel, Word, and PowerPoint).

The ideal candidate possesses the following traits:

• Strong interpersonal skills: working with others across the firm and external constituents calls for an individual who enjoys developing professional relationships.

• Team-orientation: a willingness to work collaboratively with other team members and pitch in on ad-hoc tasks and requests to ensure all needs are met.

• Efficient communicator: clear, direct communication is valued in a robust and busy work environment.

• Proactivity: an ability to recognize, anticipate and address needs with a strong sense of urgency.

• Sound judgment: Operate discreetly with sensitive or confidential information.

• Accountability: ownership of individual responsibilities and work product.

• Process-orientation: a strong attention to detail and an eagerness to continually improve.


#38061

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