Job Overview – Legal & Compliance Analyst:
Step into a key role as a Legal & Compliance Analyst with our client’s team, based in either Greenwich, CT, or New York City. In this full-time position, you’ll manage compliance testing, regulatory filings, and AML/KYC screening while supporting the investment process for their credit platform.
Total Compensation: $175,000 – $200,000/year
Location: Greenwich, CT or New York, NY
Schedule: Monday to Friday (In-Office)
Responsibilities as the Legal & Compliance Analyst:
- Compliance Testing: Handle quarterly compliance testing within the Credit group for BDCs and assist with reviews involving outside consultants.
- Filings: Prepare and manage various regulatory filings, ensuring compliance with the Investment Company Act.
- 1940 Act Compliance: Assist in completing 1940 Act checklists for BDC-related deals.
- Reporting: Create and present compliance materials to the BDC’s Board of Directors and Audit Committee.
- AML/KYC Screening: Conduct AML/KYC screening for new investments and facilitate the compliance needs of the investment process.
- Onboarding: Manage compliance aspects of onboarding new employees and coordinate conflicts checking for the credit platform.
Qualifications for the Legal & Compliance Analyst:
- Education: Bachelor’s degree required (JD preferred).
- Experience: 2-4 years in Investment Advisor Core Compliance (Financial Services and Investment Company Act experience preferred).
- Skills: Strong leadership, project management, and communication skills.
- Technical Skills: Proficient in Microsoft Word, Excel, PowerPoint, and Adobe.
- Industry Expertise: Credit product knowledge required (BDC knowledge a plus).
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.