The Legal and Compliance Analyst will work closely with other members of the Legal and Compliance Department and other departments throughout the firm on a wide spectrum of issues and initiatives.
Responsibilities:
Play a key role in the day-to-day administration and continuous improvement of the firm’s compliance program in a rapidly changing regulatory environment.
Use the latest RegTech to propose, build and execute on compliance processes to achieve scale.
Monitor and understand regulatory, compliance and legal developments affecting the firm.
Train and educate employees on compliance matters.
Assist in the performance of testing for compliance with the firm’s policies and procedures, incorporating technology and analytics where appropriate.
Organize, maintain, and produce compliance recordkeeping.
Assist with regulatory filings in various jurisdictions internationally.
Perform due diligence of research providers, consultants, and counterparties.
Assist with managing the process of periodically updating the firm’s compliance manual, Code of Ethics, and investor due diligence documents.
QUALIFICATIONS
Bachelor’s degree from a highly regarded college or university; candidate should have accumulated an outstanding academic record.
2+ years of experience in a compliance role, such as private fund/broker-dealer compliance or compliance consulting.
A professional license such as a CPA or a FINRA license would be viewed favorably, but is not required.
#38776
Seniority level
Associate
Employment type
Full-time
Job function
Legal
Industries
Financial Services
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