Top-Tier and growing Credit Fund in Midtown is looking for a Legal Associate for a permanent position!
Responsibilities:
Interface with the compliance team, management, operations, or legal, as appropriate, to communicate, coordinate and resolve issues and respond to requests
Board meetings, agendas/minutes/meeting materials etc.
Counsel business associates on regulatory and compliance requirements
Coordinate with the firm's outside service providers to ensure regulatory filings are made timely and accurately.
Update and file all required regulatory filings including, but not limited to ADVs and other periodic filings
Update and amend Compliance Manual, Code of Ethics and other compliance policies and procedures.
Conduct reviews and prepare reports on the investment adviser's brokerage practices and best execution.
Perform Annual Compliance Review, Risk Assessment Review, Employee Compliance Training and Marketing Materials Review
Engage in special projects, initiatives, and other activities of an ad hoc nature.
Qualifications:
In-depth knowledge of SEC and Client broker-dealer regulation and regulatory environment
Must have a JD
Previous experience working in Credit
This position is paying $180,000-$210,000 as a base salary.
Seniority level
Entry level
Employment type
Other
Job function
Legal
Industries
Staffing and Recruiting
Referrals increase your chances of interviewing at Social Capital Resources by 2x