Atlantic Group
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This range is provided by Atlantic Group. Your actual pay will be based on your skills and experience talk with your recruiter to learn more.
Base pay range
$120,000.00/yr - $140,000.00/yr Location:
Midtown Manhattan Compensation:
$120k - $140k + Bonus Responsibilities
Assist with a wide variety of regulatory, corporate, fund and investment compliance matters across various strategies. Draft, implement, maintain, and test compliance policies and procedures and support the team in implementing these policies and procedures to address new business practices or regulatory changes (e.g., CTA, etc.). Assist with preparation and completion of annual compliance risk assessment and the annual compliance review. Assist with administration of the firm's Code of Ethics, including trade approvals, trade review, affirmation approvals, quarterly transaction reporting and annual attestations. Assist with legal and compliance risk mitigation strategies (e.g., data privacy, MNPI, etc.) across multiple disciplines (e.g., client contracts, operational systems, and compliance). Materially assist in the preparation of regulatory filings (Form ADV, Form PF, Forms 13G, 13H and 13F, Treasury Filings, CFTC filings, state Blue Sky filings and others). Review and approve external communications, marketing, and business development materials, including social media, events, website, DDQs and RFPs. Assist with general KYC/AML requests from third parties. Assist with regulatory audits, inquiries, and subpoenas. Qualifications
2+ years of experience in in-house legal and/or compliance department (JD from an accredited law school is a plus). Knowledge of the Investment Advisers Act of 1940 and its related rules and regulations, as well as broad knowledge of financial industry compliance programs. Strong time management, planning and organizational skills. Ability to work independently but also collaborate in a team-oriented, cross functional and fast paced environment. Seniority level
Associate Employment type
Full-time Job function
Legal Industries
Investment Management
#J-18808-Ljbffr
$120,000.00/yr - $140,000.00/yr Location:
Midtown Manhattan Compensation:
$120k - $140k + Bonus Responsibilities
Assist with a wide variety of regulatory, corporate, fund and investment compliance matters across various strategies. Draft, implement, maintain, and test compliance policies and procedures and support the team in implementing these policies and procedures to address new business practices or regulatory changes (e.g., CTA, etc.). Assist with preparation and completion of annual compliance risk assessment and the annual compliance review. Assist with administration of the firm's Code of Ethics, including trade approvals, trade review, affirmation approvals, quarterly transaction reporting and annual attestations. Assist with legal and compliance risk mitigation strategies (e.g., data privacy, MNPI, etc.) across multiple disciplines (e.g., client contracts, operational systems, and compliance). Materially assist in the preparation of regulatory filings (Form ADV, Form PF, Forms 13G, 13H and 13F, Treasury Filings, CFTC filings, state Blue Sky filings and others). Review and approve external communications, marketing, and business development materials, including social media, events, website, DDQs and RFPs. Assist with general KYC/AML requests from third parties. Assist with regulatory audits, inquiries, and subpoenas. Qualifications
2+ years of experience in in-house legal and/or compliance department (JD from an accredited law school is a plus). Knowledge of the Investment Advisers Act of 1940 and its related rules and regulations, as well as broad knowledge of financial industry compliance programs. Strong time management, planning and organizational skills. Ability to work independently but also collaborate in a team-oriented, cross functional and fast paced environment. Seniority level
Associate Employment type
Full-time Job function
Legal Industries
Investment Management
#J-18808-Ljbffr