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    Legal and Compliance Analyst - Denver, United States - Paralel Technologies

    Paralel Technologies
    Paralel Technologies Denver, United States

    3 weeks ago

    Default job background
    Accounting / Finance
    Description

    Company Overview:

    Paralel Technologies is a growing FinTech firm redefining the relationship between asset managers and their back office. We are the premier trusted partner for asset managers and their funds, innovating with technology and serving with compassion.

    Role Overview:

    We at Paralel are looking for a motivated individual to serve as a legal and compliance analyst who values teamwork, growth, and is excited to learn here in our Denver office. We're an innovative, growing company with an exciting future – that means you'll be empowered from day one to help us build our future and shape your career and role. In addition, our small but experienced leadership team is here to ensure you have the knowledge and tools for success. So come be a part of our growing, energetic, team-based culture, where we're focused on our values of service, to ourselves, to others and to our community.

    The right candidate will be able to provide onboarding and legal support for a variety of mutual fund, exchange traded fund and closed-end fund clients, as well as support the operations of the firm's registered investment adviser's compliance program. This position requires excellent communication and organizational skills. You will have the opportunity for direct day-to-day interaction with clients. We value those with a sense of responsibility, the ability to be flexible and willingness to help solve challenges in fun and creative ways.

    Job Responsibilities:

    (may include and are not limited to)

    • Provide continuous legal and compliance support to internal and external business partners across a broad range of legal and compliance areas.
    • Serve as a primary client contact, managing the day-to-day legal operation of client funds.
    • Prepare regulatory filings required under the Investment Company Act, Investment Advisers Act, Securities Act of 1933 and Securities and Exchange Act of 1934 for filing with the U.S. Securities and Exchange Commission (SEC), including Forms N-1A, N-2, N-CSR, N-PX, and DEF 14A, among others.
    • Collaborate in preparation for fund board meetings including drafting and distributing legal documents, communications, resolutions, correspondence, notices, and agendas.
    • Attend client board meetings and take minutes.
    • Assist with the operations of Paralel's registered investment adviser's compliance program, ensuring adherence to policies and procedures, as well as applicable laws and regulations.
    • Prepare and maintain multiple regulatory filing and compliance calendars.
    • Monitor and report on regulatory initiatives promulgated by various regulatory agencies such as the SEC and Financial Industry Regulatory Authority (FINRA).
    • Prepare and maintain policies and procedures as needed.
    • Conduct legal research and compile data for attorneys, clients, and corporate personnel from various sources, providing direction to other team members on business activities.
    • Opportunities to lead teams, bringing your specific experience and expertise to our team

    Skills and Qualifications:

    • Bachelor's degree, paralegal certification, or equivalent work experience.
    • At least one year of experience working with the Investment Company Act and/or Investment Advisors Act, or experience working in investment management, corporate governance, compliance, securities fields preferred.
    • Familiarity with (or willingness to learn) adviser regulatory compliance software, preferably MyComplianceOffice.
    • Proficiency with or willingness to learn terminology relevant to the investment management industry.
    • Excellent verbal and written communication skills and strong ability to communicate with a wide and diverse audience (both internal and external), including daily client interactions.
    • Excellent attention to detail and strong multi-tasking skills.
    • Proficient in Microsoft Office products, comfortable working with new technology and trying new ideas.
    • Ability to work in a team environment and take ownership on individual projects with little to no supervision.

    Compensation Range:

    • $60,000 - $85,000
    • Performance bonus eligible
    • The actual salary offer to the successful candidate will be based on job-related education, training, industry experience, certifications and other factors.

    What We Offer:

    A comprehensive benefits package, including:

    • Employer paid medical options, plus dental and vision coverage.
    • Disability, AD&D and life insurance.
    • Flexible spending accounts (FSA); Health savings account (HSA) for high deductible medical plan.
    • 401(k) match.
    • Unlimited PTO.
    • An energetic team-based culture focused on our values of service to others and to our community.
    • On-site gym and yoga studio.
    • Free snacks and weekly lunch, craft beer & kombucha on tap in the office, plus pinball.
    • Work life flexibility.
    • Hybrid schedule available, depending on experience.

    Paralel Technologies LLC is an equal opportunity employer.

    All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability or veteran status.

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