Compliance Attorney

Position: US - Staffing - Compliance Attorney
Location: Boston, Massachusetts /  New York or Remote
Duration: Contract
Job ID: 177025

Job Overview:
We are seeking a Compliance Attorney to join our team and assist with the control room function to support scaling private investment activity. This role involves frequent interactions with investment teams and partners, requiring a general understanding of processes such as wall-crossing, conflicts checks, company research, non-disclosure agreements, and documentation/monitoring in systems. The ideal candidate will have a strong academic background, attention to detail, and relevant experience in finance or asset management.

Responsibilities:

• Support policies and processes to mitigate and manage potential conflicts arising from public and private investment activity.
• Monitor deal pipeline, confer with deal teams as appropriate, and ensure appropriate tracking of potential transactions within systems.
• Research potentially impacted public securities and issuers, as well as deal/company facts to support materiality determinations; validate ongoing review of developments and status.
• Review, negotiate, and execute deal-related non-disclosure agreements (NDAs).
• Assist in transitioning to a new compliance control room platform; ensure successful integration with the pipeline platform and migration of legacy data.
• Support regulatory analysis on issues, including securities and insurance regulation matters.
• Monitor and track applicable regulatory and industry developments; draft related summaries, guidance, and proposed policy language as needed.
• Participate in ad hoc and special projects with the Compliance team and other colleagues, such as risk assessments, regulatory reporting, and corporate governance.
• Provide on-site compliance support by understanding investment compliance programs, including codes of ethics, policies, testing, and controls.

Qualifications:

• Bachelor’s degree and at least 2 years of relevant investment, compliance, or legal experience; JD required.
• Licensed to practice law in at least one U.S. state.
• Experience with support review, negotiation, and execution of deal-related non-disclosure agreements (NDAs).
• Basic knowledge of securities regulation and investment compliance topics, including the Investment Advisers Act of 1940, management of confidential and material non-public information, and SEC regulatory requirements for buy-side institutional investors.
• Experience with fixed income asset classes and investment products; private credit experience is a plus.
• Familiarity with control room/trading systems and related technology/data (e.g., Dealcloud, MCO, Aladdin, Bloomberg, Pitchbook, CapIQ) is a plus.
• Strong verbal and written communication skills.
• Strong ethical character, poise, and confidence to interact with a wide range of colleagues; a collegial team player.
• Desire to expand knowledge of regulatory, legal, and compliance topics applicable to the asset management and insurance industries.

About PTR Global: PTR Global is a leading provider of information technology and workforce solutions. PTR Global has become one of the largest providers in its industry, with over 5000 professionals providing services across the U.S. and Canada. For more information visit www.ptrglobal.com

At PTR Global, we understand the importance of your privacy and security. We NEVER ASK job applicants to:

• Pay any fee to be considered for, submitted to, or selected for any opportunity.
• Purchase any product, service, or gift cards from us or for us as part of an application, interview, or selection process.
• Provide sensitive financial information such as credit card numbers or banking information. Successfully placed or hired candidates would only be asked for banking details after accepting an offer from us during our official onboarding processes as part of payroll setup.

Pay Range: $60 - $70/hour on W2

The specific compensation for this position will be determined by several factors, including the scope, complexity, and location of the role, as well as the cost of labor in the market; the skills, education, training, credentials, and experience of the candidate; and other conditions of employment. Our full-time consultants have access to benefits, including medical, dental, vision, and 401K contributions, as well as PTO, sick leave, and other benefits mandated by applicable state or localities where you reside or work.

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