JOB DETAILS

Job Description:

Job Function:

The Legal & Compliance Associate will help oversee all the legal and compliance affairs of the fund as well as all the funds it manages.

• Responsibilities will include but won't be limited to the following:
  Primary responsibility will be to review marketing materials, due diligence requests, and investor relations reporting communications.
• Implementing Compliance policies, including those involving the Code of Ethics, employee certifications, regulatory filings, and document retention.
• Monitoring personal and firm trading, restricted list maintenance, the upkeep of various logs, heavy writing, document review and upload, call monitoring, expert network approvals, and regular communications with third party brokerage firms.
• Assisting with the annual review and training of compliance policies, as well as the reviews of the compliance program and regulatory developments for Compliance Committee meetings.
• Performing back testing related to expense allocations, trade allocation exceptions, managed accounts, personal trading accounts.

Job Requirements:

Job Requirements:

• BS degree in Finance, Law, or related degree with solid academic profile
• Ideal candidate will have 3-6 years of relevant experience within a law firm, financial institution, consulting firm, or regulatory agency
• Professional and trustworthy with confidential and sensitive information
• Excellent interpersonal and communication skills (written and verbal)
• Strong analytical skills, attention to detail, well organized, and proven ability to multi-task
• Able to work well under pressure in a fast paced environment
• Must be a self-starter, independent worker and quick learner

Contact Details: