- Organize and manage internal compliance documentation.
- Keep accurate records of client communications, ensuring all documents are reviewed and approved.
- Handle regulatory filings, including Form ADV and Section 13, ensuring timely and accurate submission.
- Participate in the creation and review of offering documents and subscription agreements.
- Conduct ongoing audits to ensure firm adherence to policies and procedures.
- Prepare and maintain records of compliance reports, SEC Exam Priorities, and Risk Alerts.
- Collaborate with external consultants to conduct the annual review of our compliance program.
- Develop and maintain our compliance training and testing schedules, including organizing committee meetings and creating training materials.
- Draft and review fund formation documents and regulatory filings.
- Stay updated with new SEC regulations and other relevant federal rules.
- Support a variety of general legal matters under the guidance of our General Counsel.
- At least 2 years of professional experience in legal and compliance roles.
- Strong technical skills with proficiency in Excel, Word, and PowerPoint.
- Familiarity with ComplianceAlpha, MyCompliance Office, or similar compliance tools.
- Excellent communication skills, both verbal and written.
- Detail-oriented with exceptional follow-through abilities.
- Efficient in managing multiple projects with strict deadlines.
- Thrives in a collaborative, fast-paced environment and adaptable to various roles as required.
- Proactive "No job is too small" mindset.
- JD, BA/BS degree required.
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AM Pierce and Associates California, United States**Who We Are**: AM Pierce & Associates and Applied Technologies Group (ATG), a wholly owned subsidiary of AM Pierce and Associates, is a woman-owned small business providing Engineering & Research, Cyber, C5ISR, Program & Acquisition Management services and solutions to a diverse ...
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Compliance & Legal Associate - California, United States - Voy Ventures
2 weeks ago
Description
Dynamic alternative asset manager in Menlo Park is on the market for an Associate in Legal & Compliance to work closely with the firm's Managing Partner, General Counsel and Chief Compliance Officer. We are seeking a dedicated professional with a keen interest in compliance and legal functions, ideally with experience in the financial services sector.
Key Responsibilities:
Compliance:
Legal:
Qualifications:
Education:
We value a team-oriented approach and a workplace where contributions are recognized and valued. If you are ready to advance your career in a challenging yet supportive environment, we would love to hear from you.
