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Legal & Compliance Associate - Investments

Provision People

Legal & Compliance Associate - Investments

Reno, NV +1 location
Full Time
Paid
  • Responsibilities

    Summary:

    Our award winning client is currently hiring for a Legal and Compliance Associate. The position requires the ability to work in a fast-paced environment, efficiently maintaining and advancing the firm’s compliance program. The role will promote and ensure the firm maintains a strong culture of compliance within the letter and spirit of regulations and best practices for investment firms. The role will also serve the firm in periodic legal review as it relates to firm contracts and investment due diligence.

    Responsibilities:

    • Administer the Firm’s compliance program while remaining up-to-date regarding regulatory developments.
    • Develop, prepare and enforce compliance policies and procedures.
    • Apply compliance program standards while coordinating with client advisors, investment and operations staff.
    • Review client and prospect communications and firm marketing materials for regulatory compliance and firm communication guidelines.
    • Ensure compliance in the firm’s presentation of performance track records and analysis.
    • Assist with the preparation of regulatory filings (including the firm’s Form ADV, Form PF, Form 13(F, G, H) and investment adviser registrations
    • Administer the firm’s business continuity plan, data security plan and management of annual cybersecurity and surprise custody examination
    • Code of Ethics monitoring and review including best execution, investment guidelines, trade errors, personal trading, and gifts/entertainment policies
    • Create and implement continuous compliance training program

    Required Skills and Experience:

    • College graduate; JD preferred with a minimum of 4 years of work experience in the financial sector
    • Impeccable integrity and ethical standards
    • Familiarity with the Investment Advisers Act, the Investment Company Act and other rules and regulations applicable to U.S. investment advisers.
    • High degree of individual initiative with a sense of urgency. Ability to work independently and think proactively
    • Adaptable, with a high sense of collaboration and empathy.
    • Strong organizational and time management skills; ability to multi-task amid concurrent deadlines
  • Locations
    San Francisco, CA • Reno, NV