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Compliance Attorney, Winslow Capital
Refer job# HKZU150601
Compliance Attorney, Winslow Capital The candidate will assist the Chief Compliance Officer / General Counsel ( CCO/GC ) with administering Winslow Capital's investment adviser compliance program, ensuring that Winslow exercises due diligence and sound internal controls to operate with integrity and protect against legal risk. Responsible for the preparation and filing of various regulatory reports and disclosures. Responsible for the review of marketing materials. Responsible for certain aspects of the Winslow compliance monitoring and testing program. Assist the CCO/GC with the preparation of fund client SAI and prospectus disclosures. Assist the CCO/GC with various Winslow legal matters. Assist the CCO/GC in the preparation and review of investment company contract renewal documents (15(c) responses). Assist the CCO/GC with analyzing and interpreting new compliance regulations and standards. Assist the CCO/GC in the development and maintenance of compliance policies and procedures. Assist the CCO/GC with coordinating regulatory examinations and client due diligence reviews. Assist the CCO/GC with the preparation of client compliance-related reports and certifications. Assist the CCO/GC in the preparation of compliance-related training materials and present on compliance-related subjects. Assist the CCO/GC in conducting Rule 206(4)-7 annual reviews. Bachelor's Degree from an accredited college or university and a JD from an accredited law school are required. Minimum of 3 years of experience working in the financial services industry, preferably in an investment advisory firm are required. Understanding of the Investment Advisers Act of 1940 and other relevant federal and state rules and regulations are required. Knowledge related to private fund regulations, the Global Investment Performance Standards, non-U.S. laws, and privacy laws are considered a plus. Strong interpersonal skills for interacting with senior management, clients, consultants and regulators. Excellent written and verbal communication skills with the ability to distill, organize, and communicate information and ideas in a clear and concise fashion. Excellent organizational and logic skills. Ability to multi-task and perform on deadline. Proficiency in MS Word, Excel, and other Microsoft Office applications.
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