1 week ago
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Dynamic alternative asset manager in Menlo Park is on the market for an Associate in Legal & Compliance to work closely with the firm's Managing Partner, General Counsel and Chief Compliance Officer. We are seeking a dedicated professional with a keen interest in compliance and legal functions, ideally with experience in the financial services sector.
Key Responsibilities:
Compliance:
Organize and manage internal compliance documentation.
Keep accurate records of client communications, ensuring all documents are reviewed and approved.
Handle regulatory filings, including Form ADV and Section 13, ensuring timely and accurate submission.
Participate in the creation and review of offering documents and subscription agreements.
Conduct ongoing audits to ensure firm adherence to policies and procedures.
Prepare and maintain records of compliance reports, SEC Exam Priorities, and Risk Alerts.
Collaborate with external consultants to conduct the annual review of our compliance program.
Develop and maintain our compliance training and testing schedules, including organizing committee meetings and creating training materials.
Legal:
Draft and review fund formation documents and regulatory filings.
Stay updated with new SEC regulations and other relevant federal rules.
Support a variety of general legal matters under the guidance of our General Counsel.
Qualifications:
At least 2 years of professional experience in legal and compliance roles.
Strong technical skills with proficiency in Excel, Word, and PowerPoint.
Familiarity with ComplianceAlpha, MyCompliance Office, or similar compliance tools.
Excellent communication skills, both verbal and written.
Detail-oriented with exceptional follow-through abilities.
Efficient in managing multiple projects with strict deadlines.
Thrives in a collaborative, fast-paced environment and adaptable to various roles as required.
Proactive "No job is too small" mindset.
Education:
We value a team-oriented approach and a workplace where contributions are recognized and valued. If you are ready to advance your career in a challenging yet supportive environment, we would love to hear from you.
Seniority level
Seniority level
Associate
Employment type
Employment type
Full-time
Job function
Job function
Legal and Finance
Industries
Venture Capital and Private Equity Principals, Investment Management, and Financial Services
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