Associate Director
$150k - $200kArrow Search Partners
About the Company Our client is an asset management firm focusing on credit strategies with over $40 billion in AUM. Responsibilities Coordinate across the firm on fund and managed account compliance and regulatory matters including SEC and CFTC registrations, ERISA, and federal, state and international securities laws Review marketing materials, due diligence responses, investor communications and other fundraising and reporting related materials across various investment strategies Coordinate and prepare U.S. and foreign regulatory reports and filings Assist with forensic testing for annual compliance review Assist with the compliance monitoring program including testing of investment guidelines and employee compliance requirements Support selected firm-wide legal and compliance initiatives Requirements Bachelor’s degree required 3-7 years of experience in a compliance role J.D. required Understanding of federal securities law and regulations strongly preferred Experience with private fund marketing or distribution compliance a plus Experience using compliance software/programs that support monitoring, reporting, and risk assessment activities Ability to interpret legal and business terms and grasp concepts quickly Salary Range $150,000-$200,000 #J-18808-Ljbffr Arrow Search Partners
Vacancy posted 3 days ago
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