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Compliance And Funds Counsel
Refer job# URMU151475
 
Compliance and Funds Counsel The candidate will drive compliance throughout the company and provide the highest quality support to the funds business, both in formation and operation. This role will engage with all levels of employees and management, so social and communication skills are vital to strong working relationships. Reports to the Head of Legal & Chief Compliance Officer (based in New York). Key Responsibilities: Preparing for SEC registration, including leading, developing and implementing compliance policies and procedures and compliance monitoring program. Lead private fund formation/launches as company expands into new consumer credit asset classes. Working closely with the CCO to manage the operation of existing funds and compliance program; oversee and assist in the preparation of regulatory filings, portfolio compliance, Code of Ethics oversight, AML, information security and compliance testing/monitoring. Review investor communications, marketing materials and fund documentation; assist with preparation for audits and regulatory matters. Manage compliance training program, conducting training sessions and design, lead and complete multi-disciplinary projects; interact with and provide advisory compliance support to investor relations, business development and operational professionals. Monitor ongoing legal and regulatory developments; implement new compliance initiatives as law, compliance and business circumstances evolve. Assist Head of Legal and Chief Compliance Officer in building a global legal department, developing and enhancing its service culture and meeting the needs of the business. Provide any other legal or non-legal support that the business requires.

The candidate should be qualified attorney in the United States (preferably NY or CA). Should preferable have JD or LLM from accredited US law school. Must have 3+ years experience in US law firm and/or in-house, though right candidate could have significantly more experience. Should have experience in US advised private funds, including formation, regulation and compliance. Experience in consumer credit, asset management, fintech or artificial intelligence is desire. Experience in Israeli funds regulation and compliance is preferred. Should preferable have Experience in US consumer credit/lending legal and regulatory regimes, including FCRA, GLBA, TILA, DPPA, UDAAP, UDAP, ECOA, HMDA and RESPA. Must have expertise in the investment management industry and U.S. and international securities laws applicable to private funds, including Investment Advisers Act, FINRA rules, Securities Act, Securities Exchange Act, Investment Company Act, Commodity Exchange Act, ERISA, and FINRA rules. Should have excellent drafting of advice, disclosure and contracts in English with minimal support from external counsel. Must be a highly organized and proactive, able to work independently on several projects while maintaining an appropriate level of transparency with the CCO and escalating matters as necessary. Should have excellent judgment and initiative in developing creative, practical and effective solutions, using a business-first approach.
 
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