Location: Midtown Manhattan

Compensation: $130k-$160k + Bonus

Responsibilities:

Compliance Monitoring: Oversee employee personal trade reviews, certifications, and gift/entertainment requests.
Regulatory Tracking: Manage compliance areas such as proxy voting, NDA trackers, and vendor due diligence processes.
SEC & Regulatory Filings: Assist with preparation and submission of filings, including foreign ownership disclosures.
Training & Onboarding: Facilitate compliance training for employees and ensure seamless onboarding for new hires.
Expert Network Oversight: Approve, log, and monitor expert network calls to maintain compliance standards.
Issue Resolution: Research, resolve, and escalate compliance issues with actionable recommendations.

Qualifications:

4+ 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.
Strong communication skills.

#42141

Atlantic Group

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