Legal & Compliance Analyst

Our client, a global diversified alternative investment manager that operates with a long-term approach to investing since its founding is seeking a Legal & Compliance Analyst with a minimum of two years’ experience as a paralegal or within a compliance department at an investment management firm. This is a broad-based role providing critical support to the firm’s Chief Compliance Officer (CCO)/General Counsel (GC) with implementing and monitoring the global compliance program and code of ethics and support various legal and regulatory matters. The successful candidate will be curious, detail-oriented, proactive, self-motivated, and work well independently.

COMPANY: Investment Firm
POSITION: Legal & Compliance Analyst
LOCATION: Midtown, NYC
COMPENSATION: $100-135k base (Bonus additional), Medical Benefits, and other great perks!
BACHELOR'S DEGREE: Required
OFFICE REQUIREMENTS: 4 days in office / Fridays remote
HOURS: 8:30am/9am – 5:30/6pm

Responsibilities of the Legal & Compliance Analyst:
-Support the CCO/GC to maintain firm’s global legal & compliance program
-Update, track, and assist with the firm’s compliance calendar deliverables and regulatory filing obligations (US, UK, and Singapore)
-Administer the firm’s Code of Ethics (govt official contact reporting, gifts, and entertainment, outside business activities/family member conflict disclosures, etc). and corresponding compliance platform
-Assist with employee trade surveillance alerts and reporting
-Understand and assist with communication and enforcement of compliance policies (e.g., code of ethics, trade allocation, pay to play/state lobbying laws, etc.) and the maintenance of various compliance monitoring logs
-Prepare, monitor, and file regulatory filings relating to the firm’s various registrations; principally SEC, CFTC/NFA, FCA, MAS
-Organize and assist the preparation of firm-wide monthly, quarterly, and annual committee meetings, board meetings and training sessions
-Work alongside counterparty relationship management team to vet new brokers and assist with the preparation of new accounts documentation, KYC, AML, and other document requests and facilitate ongoing due diligence
-Maintain all legal, compliance and trading counterparty administrative tasks such as document preparation/organization, global business insurance renewal, document filing, scanning, mailing, recording, and preparing distribution lists

Requirements of the Legal & Compliance Analyst:
-Bachelor’s degree
-Minimum of two years of proven experience in a paralegal or compliance role
-Good knowledge of legal requirements and procedures
-Outstanding verbal/written communication and interpersonal skills
-Entrepreneurial, analytical, proactive, highly detail-oriented team player
-Ability to maintain composure, exercise discretion, and make sound professional judgments in a dynamic environment
-Verification of identity, education, prior employment, and references may be required