Corporate Paralegal/Compliance Manager

Consello is seeking to hire a full-time Corporate Paralegal / Compliance Manager to join its Legal & Compliance team with a dual focus on supporting the firm’s (1) transactional work and corporate governance and (2) compliance with respect to its (A) private equity operations as a registered investment adviser and (B) registered broker-dealer and broader corporate advisory operations. This role will be responsible for supporting the General Counsel / Chief Compliance Officer and will also work closely with the Chief Financial Officer and external compliance consultants. The position offers diversified experience across all functional areas of a corporate advisory / investment advisory / broker-dealer platform both in the US and internationally and interaction with a broad range of internal and external stakeholders. Experience with a registered broker-dealer and knowledge of FINRA regulations is not required but is highly desirable. Key Responsibilities Transactional Work and Corporate Governance Draft, review, proofread, and manage a broad range of corporate contracts and commercial agreements, including NDAs, vendor contracts, master service agreements and statements of work, client engagements, and related amendments. Support contract lifecycle management by maintaining contract templates, organizing executed contracts, and tracking important deadlines (renewals, expirations). Prepare and maintain corporate governance documents, including resolutions and consents, for both US and international entities. Oversee and track corporate registrations and licensing activities across multiple jurisdictions, including renewal of business licenses and submission of regulatory filings. Respond to client due diligence requests and onboarding requirements. Maintain and update records for insurance policies, endorsements, and certificates of insurance. Compliance Program Oversight Assist in the execution and continuous improvement of the firm’s compliance program to ensure adherence to SEC rules (including the Advisers Act) and other applicable regulations. Monitor and update compliance policies and procedures in response to regulatory changes and business developments. Facilitate annual and periodic reviews of compliance policies and procedures as required under the Advisers Act. Maintenance of a compliance calendar for all regulatory and filing deadlines. Regulatory Filings & Examinations Prepare and file required regulatory documents (e.g., Form ADV, Form PF). Support the firm in regulatory examinations, audits, and inquiries from the SEC, FINRA, or other regulatory bodies. Training & Guidance Develop and deliver compliance training for staff, focusing on SEC and FINRA requirements, ethical standards, and internal policies. Serve as a resource for compliance-related questions from internal teams and external consultants. Monitoring & Surveillance Oversee surveillance systems and controls to detect and mitigate compliance risks, including monitoring of employee trading, electronic communications, and restricted lists. Support the management of the firm’s Code of Ethics and personal trading policies. Monitoring of marketing/advertising materials to ensure adherence to the SEC’s Marketing Rule. Liaison & Collaboration Act as a primary point of contact for external compliance consultants, coordinating projects and ensuring effective communication. Collaborate with business partners (e.g., HR, IT, external service providers) to resolve compliance issues and implement solutions. Broker-Dealer & FINRA Compliance (Preferred) Apply knowledge of broker-dealer operations and FINRA regulations to ensure comprehensive compliance across the firm’s activities. Supervision of Form U4/U5 updates, license renewals, and registration requirements. Data Security & Privacy Assist in ensuring compliance with data protection and cybersecurity policies. Qualifications Bachelor’s degree required 6+ years of a combination of corporate paralegal experience (law firm or in-house)

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compliance experience at a registered investment adviser Strong knowledge of contract drafting and review processes and familiarity with corporate law fundamentals Strong working knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, and relevant SEC regulations Proficient in drafting, implementing, and monitoring compliance policies. Experience with SEC examinations strongly preferred. Familiarity with broker-dealer compliance and FINRA rules is highly desirable. Additional Skills Proficiency with compliance technology tools (e.g., ComplySci) and Microsoft Office suite Strong attention to detail and problem-solving abilities Strong written and oral communication skills Proactive communicator with the confidence to raise potential issues, questions, or concerns with management Excellent organizational, prioritization, and time management skills Ability to exercise discretion and sound judgment on sensitive compliance matters Compensation Base salary starting at $150,000 + bonus

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