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Melinda Burrows
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Junior Compliance Attorney
Refer job# UPSN164858
 
Junior Compliance Attorney The candidate must be able to perform each essential duty satisfactorily. 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 areas 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. Advice 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 a J.D. degree from an ABA recognized and accredited law school. Should preferably have FINRA Licensed 7, 24, 63, 65, 66 or willingness to attain within one year of employment. Must have Positive Attitude; Excellent work ethic; Team player; Accountable; Ability to work in a fast-paced environment; Excellent oral and written communication skills; Microsoft proficient; At least one State Bar admission; Microsoft Office Suite
 
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