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Legal & Compliance Associate

  • Midtown Manhattan
  • Full Time

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Private equity firm located in Midtown Manhattan looking to bring on board a ” Legal & Compliance Associate ” to join their team. They are currently in office (4 days a week).

Responsibilities:
• Supervise firm’s compliance monitoring technology platform and review Code of Ethics pre approvals.
• Support business with questions related to compliance with company policies.
• Administer and monitor quarterly attestations including outside business activities, gifts and entertainment review, and political contributions.
• Play an active role in the maintenance, surveillance and enhancement of firm’s compliance policies and procedures.
• Assist with the overall organization and operation of the compliance functions.
• Maintain compliance records.
• Liaise with the firm’s marketing team and review marketing materials.
• Coordinate completion and submission of regulatory filings, including Form ADV, Form PF, and others.
• Perform regulatory analysis with respect to SEC rulemaking.
• Assist with fund onboarding and investor AML/KYC.
• Manage personal trade review compliance program.
• Support overall functions of the Legal and Compliance Department for the investment adviser and broker-dealer.