Atlantic Group
Legal and Compliance Associate
Atlantic Group, San Francisco, California, United States, 94199
Job Overview - Legal and Compliance Associate:
Join our client's dynamic team as a Legal and Compliance Associate, where you will play a pivotal role in supporting investment and client service teams on a wide range of regulatory, corporate, fund, and compliance matters. This hybrid role requires a keen understanding of the financial industry and the ability to navigate complex regulatory environments across multiple strategies and business lines.
Total Compensation:
$150,000 - $180,000/year
Location:
San Francisco, CA
Schedule:
Monday to Friday (Hybrid)
Responsibilities as the Legal and Compliance Associate:
Regulatory Compliance:
Assist with regulatory, corporate, fund, and investment compliance matters, including policy development and implementation.
Risk Assessment:
Support annual compliance risk assessments and reviews, ensuring protocols are current and effective.
Ethics Administration:
Manage the firm's Code of Ethics, overseeing trade approvals, reviews, and transaction reporting.
Legal Support:
Contribute to legal risk mitigation strategies, including data privacy, MNPI, and client contracts.
Regulatory Filings:
Prepare and assist with filing regulatory documents like Form ADV and Form PF.
Communication Review:
Ensure external communications and marketing materials meet regulatory standards.
KYC/AML Compliance:
Handle KYC/AML requests, ensuring accurate procedure adherence.
Qualifications for the Legal and Compliance Associate:
Experience:
3-7 years in Investment Advisory, ideally in Hedge Funds, Private Equity, or Asset Management.
Education:
Bachelor’s Degree in Law, Finance, Business Administration, or a related field (JD preferred).
Knowledge:
Strong understanding of the Investment Advisers Act of 1940 and financial industry compliance.
Skills:
Excellent time management, organizational, and communication skills; ability to work independently and collaboratively in a fast-paced environment.
Application Notice:
Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.
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Join our client's dynamic team as a Legal and Compliance Associate, where you will play a pivotal role in supporting investment and client service teams on a wide range of regulatory, corporate, fund, and compliance matters. This hybrid role requires a keen understanding of the financial industry and the ability to navigate complex regulatory environments across multiple strategies and business lines.
Total Compensation:
$150,000 - $180,000/year
Location:
San Francisco, CA
Schedule:
Monday to Friday (Hybrid)
Responsibilities as the Legal and Compliance Associate:
Regulatory Compliance:
Assist with regulatory, corporate, fund, and investment compliance matters, including policy development and implementation.
Risk Assessment:
Support annual compliance risk assessments and reviews, ensuring protocols are current and effective.
Ethics Administration:
Manage the firm's Code of Ethics, overseeing trade approvals, reviews, and transaction reporting.
Legal Support:
Contribute to legal risk mitigation strategies, including data privacy, MNPI, and client contracts.
Regulatory Filings:
Prepare and assist with filing regulatory documents like Form ADV and Form PF.
Communication Review:
Ensure external communications and marketing materials meet regulatory standards.
KYC/AML Compliance:
Handle KYC/AML requests, ensuring accurate procedure adherence.
Qualifications for the Legal and Compliance Associate:
Experience:
3-7 years in Investment Advisory, ideally in Hedge Funds, Private Equity, or Asset Management.
Education:
Bachelor’s Degree in Law, Finance, Business Administration, or a related field (JD preferred).
Knowledge:
Strong understanding of the Investment Advisers Act of 1940 and financial industry compliance.
Skills:
Excellent time management, organizational, and communication skills; ability to work independently and collaboratively in a fast-paced environment.
Application Notice:
Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.
#J-18808-Ljbffr