Senior Compliance and Legal Analyst

1 week ago


San Francisco, California, United States Atlantic Group Full time

Location: San Francisco, California

Compensation: $110k-$145k + Bonus

Key Responsibilities:

  • Support a diverse range of regulatory, corporate, fund, and investment compliance issues across multiple strategies.
  • Draft, implement, maintain, and evaluate compliance policies and procedures, assisting the team in adapting these to new business practices or regulatory updates.
  • Contribute to the preparation and execution of the annual compliance risk assessment and the yearly compliance review.
  • Assist in managing the firm's Code of Ethics, which includes trade approvals, trade reviews, affirmation approvals, quarterly transaction reporting, and annual attestations.
  • Support the development of legal and compliance risk mitigation strategies across various disciplines, including client contracts and operational systems.
  • Significantly aid in the preparation of regulatory submissions, including Form ADV, Form PF, and other relevant filings.
  • Review and authorize external communications, marketing, and business development materials.
  • Assist with general KYC/AML inquiries from external parties.
  • Support regulatory audits, inquiries, and subpoenas.

Qualifications:

  • Minimum of 2 years of experience in an in-house legal or compliance department (a JD from an accredited law school is advantageous).
  • Familiarity with the Investment Advisers Act of 1940 and its associated rules and regulations, along with a comprehensive understanding of financial industry compliance programs.
  • Excellent time management, planning, and organizational abilities.
  • Capability to work independently while also thriving in a collaborative, team-oriented, and fast-paced environment.
  • Strong communication skills are essential.


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