Job Details

Paralegal And Compliance Analyst

Company name

Alumni Ventures Group

Organization Type

In-House

Job Type

Legal Staff

Valid Through

Mar 06, 2021

Posted on

Nov 21, 2020

Years of Experience

Min 2 yrs required

Location

Boston, MA, United States

Employment Type

Full-time

Industry

Legal
Practice Area
Government and Government Relations >> Government and Government Relations
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Profile

Paralegal and Compliance Analyst
Responsibilities: Completion of required regulatory filings timely and accurately, ensuring compliance with regulations and laws related to private fund offerings, including marketing, sales and investor on-boarding requirements. Consistent compliance with internal policies and procedures. Identification and implementation of process improvements to enhance overall efficiency and capabilities of the organization. Becomes a valued and relied upon member of the team, building strong relationships with multiple stakeholders. Enthusiastically assists General Counsel and Senior Compliance Officer with core duties and other legal projects to help meet legal-related requirements. Under the overall direction of the General Counsel and Senior Compliance Officer, prepare fund offering materials and complete initial registration filings, as well as Blue Sky filings upon closings of offerings, to ensure timely and accurate completion in accordance with regulatory requirements. Track and ensure compliance with investor accreditation requirements and anti-money laundering requirements. Liaise and coordinate with other internal personnel involved in fund offerings, including marketing, registered reps, investor relations, fund accounting, administration and technology. Assist with and take responsibility for special projects designed to enhance processes, procedures, efficiency and accuracy of operations, databases and record-keeping. Assist with compliance requirements for staff, including investment personnel and registered representatives. Disseminate and properly record/archive Carried Interest letters provided by Office of Investment and approved by HR. Support the audit process for required employment records pertaining to personnel and board members, and help secure any outstanding records including; Non-Disclosure agreements, equity grant documentation, financial disclosures, etc. Support HR and employment compliance initiatives and audit processes. Assist General Counsel with corporate legal matters and other projects as requested.

Qualification and Experience

Requirements: Bachelor’s degree in law, finance, business management or a related field. Paralegal certificate or other relevant industry qualification. 2+ years' providing financial, compliance or legal administrative support to a sales or customer service process. Prior knowledge of and experience with fund offering documents, marketing materials, registration filings, securities laws requirements. Prior experience with a financial services firm, law firm, investment advisor, or broker-dealer.

Company info

Hiring Coordinator
Alumni Ventures Group
7 Post Office Square, 6th Floor
Boston, MA 02110

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