Job Description

The Regulatory & Compliance Attorney will oversee the compliance function within the firm, ensuring adherence to regulatory requirements, industry standards, and internal policies. This role involves developing, implementing, and maintaining compliance programs, providing legal review, and fostering a culture of compliance across the organization.

Responsibilities

• Stay up-to-date with regulatory changes
• Develop and maintain comprehensive compliance programs
• Oversee preparation of compliance reports
• Develop and deliver compliance training programs
• Conduct regular audits
• Ensure adherence to investment processes
• Provide legal review and advice
• Review and assist with negotiation of fund documentation
• Provide legal advice on marketing materials

Requirements

• Bachelor’s Degree and Juris Doctoral degree
• 5+ years of legal or compliance experience in investment/financial services
• Broad knowledge of securities laws (Investment Advisers Act of 1940, ERISA)
• Excellent problem-solving and organizational skills
• Exceptional communication skills
• Proficient in Microsoft Office Suite and strong Excel/AI skills

Benefits

• No benefits