Support senior members of Compliance and Legal teams on compliance and regulatory matters arising from the SEC, CFTC, and DOL (ERISA), as well as compliance with all relevant federal, state and international securities laws
Job Summary
Support senior members of Compliance and Legal teams on compliance and regulatory matters arising from the SEC, CFTC, and DOL (ERISA), as well as compliance with all relevant federal, state and international securities laws.
Devise, initiate, maintain, and revise compliance and regulatory policies, procedures, controls, and training based on the specific needs of the business and current regulatory requirements.
Provide regulatory and compliance advice to investment professionals with a focus on the private credit and corporate bond trading strategies and other personnel.
Matching Summary
Support senior members of Compliance and Legal teams on compliance and regulatory matters arising from the SEC, CFTC, and DOL (ERISA), as well as compliance with all relevant federal, state and international securities laws.
Salary
$135,000 - $200,000; Discretionary bonuses; Comprehensive health benefits, paid time off, life insurance, 401(k) plan
Skills & Requirements
Must-have
SEC, CFTC, DOL regulatory matters
Investment Advisers Act of 1940
Securities Act of 1933
Exchange Act of 1934
drafting policies and procedures
responding to regulatory requests
Nice-to-have
strong independent thinker
calm demeanor
tolerance for ambiguity
highly collaborative team
Key Requirements
5+ years experience
law firm experience required
fund formation or regulatory practice group experience preferred