SEC Legal Compliance Specialist

4 weeks ago


Miami, United States Segrera Associates Full time
Job Title: SEC Legal Compliance Assistant

At Segrera Associates, we are seeking a highly skilled and detail-oriented SEC Legal Compliance Assistant to join our team. As a key member of our compliance department, you will play a critical role in ensuring the accuracy and integrity of our investment documents and records.

Responsibilities:
  • Document Preparation: Prepare subscription and redemption documents for investments, ensuring compliance with relevant regulations and laws.
  • Record Management: Organize and retain legal documents related to investments, maintaining accurate and up-to-date records.
  • Audit and Compliance: Conduct audits of legal records for previous investments to ensure accuracy and compliance with regulatory requirements.
  • Corporate Resolutions: Provide corporate resolutions for investments and maintain them in good order, ensuring compliance with relevant laws and regulations.
  • AML/KYC: Ensure compliance with AML/KYC requirements for all investments and entities, working closely with current staff to achieve this goal.
  • Legal Support: Provide legal support for real estate transactions and other independent legal projects, working closely with counsel as needed.
  • Document Maintenance: Maintain real estate transaction documentation, tax filings, and other relevant documents in good order.
  • Previous Experience: Leverage previous experience in alternative investment management documentation to ensure compliance and accuracy.
  • Liaison with Registered Agent: Liaise with the registered agent to ensure compliance with relevant regulations and laws.
  • Compliance and Governance: Maintain all corporate documents in good order, ensuring compliance with relevant laws and regulations, as well as all required yearly compliance.
  • Bank Account Opening: Assist with bank account opening and KYC requirements as needed.

If you are a detail-oriented and organized individual with a passion for compliance and regulatory affairs, we encourage you to apply for this exciting opportunity.



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