Associate - Legal and Compliance

Position/Title: Associate – Legal and Compliance

Pretium

Pretium is a specialized investment firm focused on U.S. residential real estate, residential credit, and corporate credit. Pretium was founded in 2012 to capitalize on investment and lending opportunities arising as a result of structural changes, disruptions, and inefficiencies within the economy. Pretium has built an integrated analytical and operational ecosystem within the U.S. housing, residential credit, and corporate credit markets, and believes that its insight and experience within these markets create a strategic advantage over other investment managers. Pretium’s platform has more than $57 billion of assets, comprising real estate investments across nearly 90 markets in the U.S., and employs approximately 7,000 people across 50 offices, including its New York headquarters, Miami, London, Seoul, and Sydney. 

Position

We are seeking a legal and compliance professional at the Associate level to join the team and assist with all aspects of our legal and compliance program. This is a generalist position and will report to the Chief Compliance Officer. This role is based in the Firm’s New York office.

Key Responsibilities

• Manage all aspects of the compliance program for the SEC-registered investment advisers, including the Code of Ethics, trade allocations, expense allocations, vendor refresh, annual review and restricted list
• Act as point person for various legal and compliance matters and work directly with internal business units, outside counsel and service providers
• Review and approve marketing materials for all business lines
• Complete regulatory filings, including Form ADV, Form PF, lobbyist filings, AIFMD reporting and ad hoc investor reporting
• Manage all aspects of the limited purpose FINRA member broker-dealer (Series 7 not required but a plus)
• Manage regulatory exams, mock exams and requests and serve as a point of contact for the SEC, FINRA and other regulatory authorities
• Assist with international (UK, Korea, Australia, Middle East) compliance matters
• Maintain and update policies and procedures based upon regulatory requirements, industry practices, and established internal controls
• Provide advice and training regarding applicable securities regulations and firm policies

Requirements

• Undergraduate degree
• 4 years in a registered investment adviser compliance role; in-house experience preferred
• General knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, and securities regulations
• Ability to work in a fast-paced, deadline driven and team-oriented environment

What We Offer

This position offers the opportunity to join a collegial, entrepreneurial firm committed to the personal and professional growth of its team members and to maintaining a positive, encouraging work environment. The company offers a comprehensive benefits and perks package, including:

• Employer-paid health, dental, vision and life insurance
• 401(k) plan with an employer match
• 20 annual days of Paid Time Off (PTO) plus 12 Firm holidays
• Hybrid office/work from home arrangement (in office minimum of three days per week, four days strongly preferred)
• Annual base salary range for this role is expected to be between $120,000 - $140,000
  • The actual salary will depend on various factors, including but not limited to a candidate’s experience and credentials, salary expectations of applicable candidates, and other applicable market conditions.
• Annual year-end bonus eligible

Pretium is committed to creating a diverse environment and is proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment regardless of race, color, religion, gender, gender identity or expression, genetic information, marital status, sexual orientation, national origin, disability, age, veteran status, or any other characteristic protected by federal, state, or local law.

Please see the firm’s policy regarding how it collects and processes your personal information.