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Junior Compliance Attorney The candidate will assist the General Counsel with legal research and writing on securities, corporate and employment topics. Provide internal constituents with legal and compliance support. Review and advise on third - party agreements and maintain a database of material terms for all agreements. Draft legal documents in the areas of employment, mergers and acquisitions and other additional area where required. Assist the General Counsel in managing Outside Counsel and in the areas of litigation, commercial disputes, arbitrations and corporate matters. Provide legal, risk and regulatory advice to the General Counsel and Chief Compliance Officer, investment professionals and department heads. Assist the General Counsel in implementing appropriate business procedures and provide counsel concerning the Investment Advisers Act of 1940, other federal securities laws and regulations, FINRA regulations, the FCPA and US PATRIOT Act. Monitor regulatory, operational and investment risk management. Advise on and participate in the selection of external legal counsel and compliance consultants retained by the firm. Assist in overseeing corporate governance practices and procedures including supervising the maintenance of corporate records and coordinating corporate reporting. Partner with the Chief Compliance Officer regarding regulatory and compliance matters. Must have Bachelor's Degree. J.D. degree from an ABA recognized and accredited law school is required. should have one State Bar admission. Microsoft Office Suite is required.
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This particular job is currently not active. However, since our
clients regularly share with us similar and other job openings, we strongly recommend that
you submit your resume. We shall review your resume and get in touch with you as soon as a
suitable vacancy comes up to further discuss your interest in exploring the opportunity.
Assisting you is our highest priority.
Please be assured that none of your materials will be forwarded to any employer
without your consent. Of course, all inquiries are kept strictly confidential.
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