Location: Midtown Manhattan
Compensation: $130k-$170k + Bonus
Responsibilities:
- Oversee employee personal trade reviews, certifications, and gift/entertainment requests.
- Assist with preparation and submission of filings, including foreign ownership disclosures.
- Facilitate compliance training for employees and ensure seamless onboarding for new hires.
- Approve, log, and monitor expert network calls to maintain compliance standards.
- Research, resolve, and escalate compliance issues with actionable recommendations.
- Serve as a point of contact for third party service provider due diligence
- Facilitate AML/KYC due diligence, screening, and reporting, ensuring adherence to all relevant laws and regulations.
- Monitor emerging and evolving regulatory requirements related to Environmental, Social, and Governance (ESG) and other relevant sustainability or impact-related disclosures
Qualifications:
- 2-6 years of experience in in-house legal and/or compliance department
- 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.
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