In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
Support legal and compliance department in corporate and investment transactions and assist with due diligence efforts and follow-on transaction compliance as needed
Manage business entity documents such as monitoring and updating various state and SEC regulatory filings as well as internal corporate policies
Independently review template contracts and NDAs within defined parameters and maintain and periodically update legal department template contracts
Assist legal and compliance department with corporate governance-related matters, including maintaining corporate books and records and preparing and organizing materials for board meetings such as agendas, resolutions and meeting minutes
Study, analyze and review complex legal documents to respond to questions from internal clients
Conduct research using available resources to resolve issues
Obtain appropriate internal and external signatures for legal documents
Oversee service of third-party legal, corporate governance and administration service providers
Serve as custodian of corporate records and upload legal documents into document management systems
Respond to any requests, including responses to AML/Know Your Client requests, subpoenas, discovery requests, preparing documentation, and managing files
Provide general support to legal and compliance departments and assist with special projects, as needed
3 to 6+ years' of Investment Compliance or Paralegal experience at a wealth manager or investment firm.
Knowledge of SEC Regulations, 1940 Act/Investment Advisers Act, Investment Company Act, asset management, investment funds and related transactions needed.
Strong attention to detail and excellent organizational skills
This Legal & Compliance Associate role is located in midtown Manhattan New York so please only apply if you are able to travel to this location, have relevant experience for the role and are eligible to work in the United States. The salary is dependent on experience, however the initial range is $90-125k base plus bonus. If your profile matches the above criteria, please contact me on **firstname.lastname@example.org**