- Maintain and organize internal compliance books and records.
- Retain distribution records of client documents evidencing reviews and approvals.
- Coordinate regulatory filings pursuant to requirements, including Form ADV and Section 13 filings.
- Assist in the review and approval of all offering and subscription documents with respect to our funds.
- Monitoring compliance with the firm's policies and procedures. Conduct continuous rolling audits of the firm's practice to ensure compliance with all policies and procedures.
- Maintain annual log of SEC Exam Priorities and Risk Alerts including Firm response.
- Assist in the drafting of compliance reports and memorandums to files for any unique compliance related situations. Responsible for filing and organization of all such files.
- Coordinate compliance program annual review with outside compliance consultants.
- Support SCP's compliance, training, and testing calendars, including:
- Prepare and conduct compliance testing.
- Coordinate the various committee meetings.
- Assist in developing training materials and presentations.
- Annually update the required changes in the firm's Compliance Manual and Code of Ethics, update Polices & Procedures and document in material changes log.
- Work with the Offshore Directors to schedule bi-annual BOD calls.
- Custody – Audited Financials – Custody Rule maintain testing and stay on top of required deadlines.
- Point Person for receiving Shareholder information (proxies, letters, 10K, 10Q); responsible for electronic filing and when documents received via hard copy to sign up for electronic delivery; track proxy vote dates in log; prepare proxies for votes
- Point of contact for updating authorized traders, maintain files.
- 2+ years' administrative professional experience.
- JD strongly preferred
- relocation provided
- Strong computer skills (Excel, Word, and PowerPoint).
- Experience with ComplianceAlpha, MyCompliance Office, or other compliance administration technology.
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Legal & Compliance Analyst - Menlo Park, United States - Larson Maddox
Description
Larson Maddox is partnered with a private investment firm looking for a Legal & Compliance Analust to report to the General Counsel / Chief Compliance Officer (GC/CCO).
Essential Duties and Responsibilities:
Qualifications/Experience:
