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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Government / Public Law
Litigation - Whistleblower - CFTC
Legal Counsel/Specialist, Compliance and Account Management Duties: Oversee the internal compliance process and ensure the quality and accuracy of materials used with prospects and clients. Reports to Director, Account Management with a dotted line to the Head of the Legal and Investment Structuring Group and Chief Compliance Officer. Ensure and approve compliance with regulatory requirements, accuracy and proper formatting for all standard and customized reports. Review and provide legal approval on all customized client and prospect marketing materials, including: RFPs RFIs Databases Prospect/Client presentations Prospect/Client Meeting Materials Responses to prospect inquiries (Word docs, spread sheets, emails) Educational materials. Maintain an updated and accurate log of appropriate disclaimers for use in client/prospect materials. Oversee the maintenance of an accurate and current log of all client/prospect materials that require compliance approval. Make recommendations to the Account Management Committee on improvements to the policies/procedures for approval of client and prospect materials. Make recommendations to the AM analyst group and others on improvements to AM client and prospect materials, or the process used in creating them. In coordination with the Director, Account Management, mentor and develop a team of seven analysts. Under the direction of senior team members, liaise with the firm’s outside legal counsel and compliance consultant regarding regulatory research and special projects. Coordinate firm-wide marketing materials compliance training (to be conducted by the firm’s legal counsel or outside compliance consultant). Oversee monthly review of all customized marketing materials by ACA to ensure on-going compliance of materials. Serve as the primary internal legal contact with respect to legal issues affecting AM, including prospect/client/consultant contract issues and regulatory developments. Oversee the development and maintenance of prospect, client and consultant contract forms. Develop and maintain a set of approved client/consultant terms; seek required AM approval for variances. Review and provide legal approval on client and prospect marketing materials, including, without limitation, RFPs, RFIs and DDQs. Work with firm’s outside counsel to maintain a spreadsheet of client/consultant terms and be the point on such terms. Along with internal and outside counsel, negotiate prospect/client/consultant contracts, including amendments and updates. Along with internal counsel, liaise with prospect/client/consultant on legal and structuring issues. Review and/or interpret legal research related to Pay to Play and lobby laws at state and local level.
Qualification and Experience
Requirements: A J.D. is required and t he Series 3, Chartered Alternative Investment Analyst designation and undergraduate studies in a relevant field such as finance, economics or mathematics are positives. Additional compliance-related training (i.e., the firm’s outside legal counsel, the firm’s outside compliance consultant and others) is helpful. Experience in an analyst, senior analyst and /or specialist role. In addition to detailed knowledge about regulatory requirements, this person is technically competent in areas of risk, investment operations and portfolio management. The Specialist will potentially pursue compliance-related certifications. This role requires a high level of attention to detail, judgment on ensuring compliance with regulatory requirements, analytical skills, investment knowledge and a strong understanding of PAAMCO’s structure. Must demonstrate strong management of work flow, oversight of people more senior than the role and comfort with multiple reporting lines.
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