Legal and Compliance Senior Analyst / Associate at Atlantic Group in San Francisco, California

Posted in Other about 15 hours ago.

Type: full-time





Job Description:

Location: San Francisco, California

Compensation: $140k-$170k + Bonus

Responsibilities:
  • Assist with a wide variety of regulatory, corporate, fund and investment compliance matters across various strategies.
  • Draft, implement, maintain, and test compliance policies and procedures and support the team in implementing these policies and procedures to address new business practices or regulatory changes (e.g., CTA, etc.).
  • Assist with preparation and completion of annual compliance risk assessment and the annual compliance review.
  • Assist with administration of the firm's Code of Ethics, including trade approvals, trade review, affirmation approvals, quarterly transaction reporting and annual attestations.
  • Assist with legal and compliance risk mitigation strategies (e.g., data privacy, MNPI, etc.) across multiple disciplines (e.g., client contracts, operational systems, and compliance).
  • Materially assist in the preparation of regulatory filings (Form ADV, Form PF, Forms 13G, 13H and 13F, Treasury Filings, CFTC filings, state "Blue Sky" filings and others).
  • Review and approve external communications, marketing, and business development materials, including social media, events, website, DDQs and RFPs.
  • Assist with general KYC/AML requests from third parties.
  • Assist with regulatory audits, inquiries, and subpoenas.

Qualifications:
  • 4+ years of experience in in-house legal and/or compliance department (JD from an accredited law school is a plus)
  • 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.

More jobs in San Francisco, California

Legal
30+ days ago

1406 Epiq Global Business Transformation Solutions, LLC
Other
about 5 hours ago

Davidson Hospitality Group
Other
about 5 hours ago

Davidson Hospitality Group
More jobs in Other

Other
19 minutes ago

Shaner Hotel
Other
19 minutes ago

Shaner Hotel
Other
19 minutes ago

Shaner Hotel