Legal Compliance Associate

2 weeks ago


New York, New York, United States Atlantic Group Full time

Position Overview:

Location: Midtown Manhattan

Compensation: $130k - $145k + Bonus

Key Responsibilities:

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

Qualifications:

  • A minimum of 3 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 regulations, along with a comprehensive understanding of financial industry compliance programs.
  • Excellent time management, planning, and organizational abilities.
  • Capability to work autonomously while also collaborating in a team-oriented, cross-functional, and dynamic environment.
  • Strong verbal and written communication skills.


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