Legal & Compliance Officer

Growing NYC based private equity firm is looking to hire a legal/compliance professional for their growing team! Will be working directly with the GC/CCO!

• Support and eventually lead monthly testing, including gathering documentation and proof of compliance with various testing such as personal trading, expense allocation and political donations.
• Assist with the US and UK annual compliance reviews and any mock audits.
• Assist with updating the US and UK compliance manuals and code of ethics each year, and on an ongoing basis as enforcement actions and regulatory matters evolve.
• Assist with onboarding new hires and provide live training sessions.
• Manage process for employee personal trade reviews, employee certifications and employee pre-clearance requests.
• Manage a variety of compliance task deadlines.
• Assist with responding to AML/KYC requests.
• Assist with compliance reviews of marketing materials and investor diligence requests.
• Review existing investor requests such as DDQs, reporting and one-off requests.
• Work with CCO and other departments on various SEC, FCA, Cayman and other regulatory filings (such as HSR and foreign anti-trust filings).
• Liaise with compliance consultants and assist with documentation and oversight of the firm’s other service providers.
• Assist with corporate governance matters such as structuring, entity formation, entity renewals, CTA compliance, creating structure charts, and other basic corporate secretary matters.
• Assist with various insurance renewals and other matters.
• Assist with ESG policies and processes.
• Review of expert network conflicts and reviews.
• Assist with managing co-investment processes.

Qualifications

• Bachelor’s degree required. JD is not required but considered a plus.
• 2-5 years of compliance experience at an SEC registered investment adviser or compliance consulting firm. Exposure to private equity is preferred.
• Strong knowledge of SEC regulatory framework.