Job Overview – Associate, Legal and Compliance:
We're seeking a highly skilled Associate, Legal and Compliance to join our client's team in New York City! In this hybrid role, you will provide essential support to investment and client service teams by handling a wide array of regulatory, corporate, fund, and compliance matters across various strategies and business lines.
Total Compensation: $150,000 – $180,000/year
Location: New York, NY
Schedule: Monday to Friday (Hybrid)
Responsibilities as the Associate, Legal and Compliance:
- Regulatory Compliance: Assist business teams with a broad range of regulatory, corporate, fund, and investment compliance issues, including drafting, implementing, maintaining, and testing compliance policies and procedures.
- Risk Management: Support annual compliance risk assessments and reviews, ensuring compliance protocols are effective and up-to-date.
- Ethics Oversight: Administer the firm's Code of Ethics, including trade approvals, reviews, and quarterly transaction reporting.
- Legal Support: Contribute to legal and compliance risk mitigation strategies, focusing on areas such as data privacy and MNPI across multiple disciplines.
- Regulatory Filings: Help prepare and submit various regulatory filings, including Form ADV, Form PF, and state “Blue Sky” filings.
- KYC/AML Compliance: Manage general KYC/AML requests from third parties, maintaining strict adherence to compliance protocols.
- Audit Support: Assist with regulatory audits, inquiries, and subpoenas, providing necessary documentation and support.
Qualifications for the Associate, Legal and Compliance:
- Experience: 3-7 years of experience in Investment Advisory roles, particularly within Hedge Funds, Private Equity, or Asset Management.
- Education: Bachelor’s Degree in Law, Finance, Business Administration, or a related field is required (JD is a plus).
- Knowledge: Strong understanding of the Investment Advisers Act of 1940 and related regulations, with broad knowledge of financial industry compliance programs.
- Skills: Excellent time management, planning, organizational, and communication skills.
Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.