Legal and Compliance Associate
We are partnered with a leading investment adviser that focuses on global credit investing, with over 300 employees and manages approximately $29 billion in investable assets.
What will you be doing
Legal and Compliance oversees the legal and compliance affairs of the Firm and the Funds it manages. You will support the compliance team on a rich variety of compliance related matters. Responsibilities will include:
* Implementing Compliance policies, including those involving the Code of Ethics, employee certifications, regulatory filings, and document retention.
* Monitoring personal and firm trading, restricted list maintenance, the upkeep of various logs, heavy writing, document review and upload, call monitoring, expert network approvals, and regular communications with third party brokerage firms.
* Assisting with the annual review and training of compliance policies, as well as the reviews of the compliance program and regulatory developments for Compliance Committee meetings.
What you will have
* 3-6 years of experience ideally from investment advisory, credit investment or special situations investments would be highly advantageous
* Strong academic track record
* Firm understanding of financial services from an investment background
