Top-Tier and growing Credit Fund in Midtown is looking for a Legal Associate for a permanent position!
Responsibilities
Interface with the compliance team, management, operations, or legal, as appropriate, to communicate, coordinate and resolve issues and respond to requests
- Board meetings, agendas/minutes/meeting materials etc.
- Counsel business associates on regulatory and compliance requirements
- Coordinate with the firm's outside service providers to ensure regulatory filings are made timely and accurately.
- Update and file all required regulatory filings including, but not limited to ADVs and other periodic filings
- Update and amend Compliance Manual, Code of Ethics and other compliance policies and procedures.
- Conduct reviews and prepare reports on the investment adviser's brokerage practices and best execution.
- Perform Annual Compliance Review, Risk Assessment Review, Employee Compliance Training and Marketing Materials Review
- Engage in special projects, initiatives, and other activities of an ad hoc nature.
Qualifications
- In-depth knowledge of SEC and Client broker-dealer regulation and regulatory environment
- Must have a JD
- Previous experience working in Credit
This position is paying $180,000-$210,000 as a base salary.