Associate Legal & Compliance
Responsibilities:
- Assist the Department in the implementation of the legal compliance programs.
- Interact with other Departments to address current and proposed, rules and regulations.
- Conduct quarterly, monthly and annual forensic testing (including email surveillance, marketing reviews, etc.).
- Execute annual reviews of firm pursuant to Rule 206(4)-7 under the Advisers Act.
- Monitor compliance with SEC, CFTC and FINRA rules and regulations.
- Develop procedures and disclosures that meet the requirements of compliance regulations for new products and services being introduced as assigned.
- Assist with drafting side letters, NDAs, offering documents and trading documents (ISDAs, GMRAs, MRAs, etc.).
- Regulatory filings such as the Form ADV, Form PDF, and CPO-CQR.
Requirements:
- 3+ years legal compliance experience within an asset management firm
- Understanding and familiarity with the Investment Advisers Act of 1940 preferred, and knowledge of the Investment Company Act of 1940, and CEA.
- Familiarity with regulatory compliance filings (Form ADV, Form PF, CPO-PQR, NFA filings, etc.).
- Must have a strict attention to detail while able to prioritize issues appropriately.
- Must be organized, detail-oriented and extremely thorough while having the confidence and communication skills to ensure work processes are completed accurately and appropriately.
- BA/BS undergraduate degree. JD Required
For immediate consideration, please forward resume and contact details to: info@ashtonlanegroup.com
Ashton Lane Group is a boutique executive recruitment firm serving the Banking, Insurance, and Alternative Investment sectors. For the latest opportunities, visit www.AshtonLaneGroup.com
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