US - Staffing - Compliance Attorney

Compliance Attorney for Software Compliance

Location: Remote (Boston or NY preferred especially if they are being considered for conversion. Conversion requires 2-3 day in-office presence at NY location (NY only, not Boston) – will not convert remote contractors). Duration: 6 months with possible conversion

What stands out on a resume/most important skillset: attention to detail, solid academic background, relevant experience

Is there a preference for industries the candidates have worked in: Finance / Asset management

Most important skillset: JD plus experience with support review, negotiation, control room, and execution of deal-related non-disclosure agreements within Finance. 2 or more years of relevant investment, compliance or legal experience. Basic knowledge of securities regulation and investment compliance topics - Investment Advisers Act of 1940, management of confidential and material non-public information, SEC and other regulatory requirements for buy-side institutional investors.

Can you tell me what the person's day to day will be like: Working on a lot of NDAs and helping out with systems management. The deals are varied and interesting. Review and negotiate deal-related non-disclosure agreements (NDAs). Research relevant company and deal details to support materiality determinations and conflicts assessments. Ongoing review of deal developments and status; ensure appropriate tracking of potential transactions within the systems.

The Position: The Compliance team is looking for a compliance attorney to assist with control room function to support scaling private investment activity. This role requires frequent interactions with investment teams and partners and a general understanding of this process – wall-crossing, conflicts checks, company research, non-disclosure agreements, and documentation/monitoring in the systems.

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
• Support review, negotiation and execution of deal-related non-disclosure agreements
• Help drive transition to new compliance control room platform; work with colleagues to ensure successful integration with pipeline platform and migration of legacy data
• Support regulatory analysis on issues, including securities and insurance regulation matters.
• Assist with monitoring/tracking of applicable regulatory and industry developments; draft related summaries, guidance and proposed policy language as needed
• Participate as needed in range of ad hoc and special projects with Compliance team and other colleagues e.g., risk assessments, regulatory reporting, firm and corporate governance, etc.
• Broad understanding of investment compliance programs (code of ethics, policies, testing, controls, etc.) in order to offer on-site compliance support.

Qualifications:

• Competencies typically acquired through at least a bachelor's degree and 2 or more years of relevant investment, compliance or legal experience; JD, control room experience, and experience with deal-related M&A non-disclosure agreements NDAs required
• Licensed to practice law in at least one state (any US state)
• Experience with and solid understanding of various fixed income asset classes and investment products; experience with private credit a plus
• Basic knowledge of securities regulation and investment compliance topics - Investment Advisers Act of 1940, management of confidential and material non-public information, SEC and other regulatory requirements for buy-side institutional investors
• Experience with control room / trading systems and related technology/data a plus (e.g., Dealcloud, MCO, Aladdin, Bloomberg, Pitchbook, CapIQ)
• Desire to expand knowledge of regulatory/legal/compliance topics applicable to the asset management and insurance industries
• Strong verbal and written communication skills
• Strong ethical character; poise and confidence to interact with wide range of colleagues; collegial team player

EEO: "Mindlance is an Equal Opportunity Employer and does not discriminate in employment on the basis of – Minority/Gender/Disability/Religion/LGBTQI/Age/Veterans."