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Energy Service Company
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Counsel Jobs > Broker Dealer Compliance Attorney Job in District of Columbia > Broker Dealer Compliance Attorney

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Broker Dealer Compliance Attorney

Refer job# CUKY162746

Broker Dealer Compliance Attorney Duties: Assisting in the general oversight and management of Carlyle's marketing-related regulatory compliance framework and processes. Assisting with the non-U.S. regulatory aspects of the marketing process for Carlyle products across segments. Being a subject matter expert regarding the various regulatory aspects of Carlyle's marketing function, including global AML/KYC matters and Worldsky requirements. Providing counsel and oversight with respect to the compliance programs for Carlyle's broker-dealer entities. Assisting with the compliance/regulatory review and approval of marketing materials for funds and products across the Carlyle platform. Acting as a primary resource of Worldsky guidance addressing private placement laws in countries around the world and providing advice to various business teams across the firm. Working with external counsel on making marketing notifications/filings, registering funds and/or seeking regulatory approval in non-U.S. jurisdictions pursuant to Worldsky requirements. Assisting in the third-party placement agent engagement process, including assuming lead on due diligence of prospective placement agents and preparation of supporting materials for senior management review. Providing legal analysis with respect to global AML/KYC obligations related to Carlyle's global marketing efforts. Assisting with training initiatives for Carlyle's global investor relations platform. Working closely with IT on compliance technology projects related to the marketing function. Particular expertise with respect to the various subject matters listed above is a positive, however the applicant should have a desire to learn and an ability to grasp complex and overlapping concepts. The applicant should also have excellent time-management and prioritization skills, as this is a fast-paced role supporting a number of business teams. Provide legal analysis with respect to global AML/KYC obligations related to Carlyle's global marketing efforts. Update Worldsky marketing guidance and obtain guidance for new countries, as needed, register funds in non-U.S. jurisdictions and lead internal communication efforts. Assist with broker/dealer marketing materials review and approval for fund-related materials and presentations used in firm events, annual conferences, sponsored symposiums, etc. Lead efforts regarding global regulatory developments and updates. Lead due diligence efforts regarding the use of finders and placement agents, coordinating policy compliance with Fund Formation, Compliance, and Investor Relations. Complete other tasks as appropriate. Qualifications: JD Degree required. Securities licenses (FINRA Series 24, Series 7 or 82 desired; will be required if not yet obtained). Active legal license in at least one state or the District of Columbia. 2-5 years relevant experience. Knowledge of alternative asset management (especially private equity) industry required. Knowledge of Broker-Dealer and Advisers Act rules and regulations desired. Strong project management skills and ability to multi?task and work across multiple groups. Ability to manage multiple requests in demanding, fast paced environment with constantly changing needs. Ability to manage and work with external advisors. Highly professional with strong communication skills. Ability to multi?task and prioritize in a fast?paced and continuously changing environment. Be able to respect highly confidential information and work in a confidential environment.

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