Job Description

Location: Midtown Manhattan

Compensation: $130k-$170k + Bonus

Responsibilities:

• Oversee employee personal trade reviews, certifications, and gift/entertainment requests.
• Assist with preparation and submission of filings, including foreign ownership disclosures.
• Facilitate compliance training for employees and ensure seamless onboarding for new hires.
• Approve, log, and monitor expert network calls to maintain compliance standards.
• Research, resolve, and escalate compliance issues with actionable recommendations.
• Serve as a point of contact for third party service provider due diligence
• Facilitate AML/KYC due diligence, screening, and reporting, ensuring adherence to all relevant laws and regulations.
• Monitor emerging and evolving regulatory requirements related to Environmental, Social, and Governance (ESG) and other relevant sustainability or impact-related disclosures

Qualifications:

• 2-6 years of experience in in-house legal and/or compliance department
• Knowledge of the Investment Advisers Act of 1940 and its related rules and regulations, as well as broad knowledge of financial industry compliance programs
• Strong time management, planning and organizational skills.
• Ability to work independently but also collaborate in a team-oriented, cross functional and fast paced environment.
• Strong communication skills.

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