Compliance Counsel The candidate will assist with conducting the Firms annual compliance review, including working with the Firms outside compliance consultants to review the Firms compliance policies and procedures regarding key risk areas. The annual review process includes performing periodic transactional and forensic testing to ensure compliance with the Firms policies and procedures. Will review marketing materials and investor communications to ensure compliance with firm's policy and governing laws and regulations; develop training materials and provide guidance to the Investor Relations and Marketing teams on fundraising and marketing activities. Assist in review of subscription documents and performance of anti-money laundering (AML) procedures. Work with third-party service providers on ongoing monitoring of the Funds investors to ensure the Firm and its funds are following relevant AML regulations. Research regulatory and compliance issues such as privacy, non-US marketing restrictions, SEC Pay-to-Play Rule compliance, and other issues. Perform compliance monitoring activities such as trade monitoring and email and social media surveillance. Prepare and deliver compliance training. Provide support with respect to SEC examinations and regulatory inquiries.
The candidate should have Bachelor's Degree and J.D. Bar member in good standing. Must have 2+ years of broad-based regulatory/compliance legal experience, within an international law firm and/or as in-house counsel supporting a U.S. registered investment adviser. Experience in private equity, credit, and/or hedge fund environments is highly desirable, either in a law firm or industry is required. Strong organizational, analytical, written, and verbal communication skills needed. Experience working with Excel, PowerPoint, and developing and maintaining various analyses and reporting tools is required. Experience with compliance monitoring software and systems highly desired.
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