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Years of Experience
Date Last Verified
ProfileCompliance Legal Analyst The candidate will report to the Chief Compliance Officer (CCO), the Compliance/Legal Analyst is responsible for supporting the CCO in conducting regulatory compliance tests/surveillance to ensure compliance with various investment adviser regulatory requirements. Additional duties include compliance support, such as reviewing and analyzing applicable law, regulation, regulatory developments and industry best practices relevant to the firm’s business activities and assisting in the development of compliance policies, procedures and processes, will be required. Will also assist the legal staff in revising corporate documents including, LLC agreements, bylaws, minutes, consents and certificates, legal letter writing, and support department projects. Supports Chief Compliance Officer in administering adviser compliance program. Reviews activity reports on a periodic and regular basis for purposes of ensuring compliance with firm policies and procedures and advisory program parameters. Provides compliance input on business action plans, projects or operational requests. Identifies and completes assessments on potential risk related issues concerning investment advisory related activity. Revises investment advisory compliance policies and procedures. Assists with meeting preparation and documentation. Identifies and defines regulatory issues and monitoring regulatory developments applicable to the firm’s business. Develops and maintains positive and productive relationships with internal business units. Assists with investment advisory regulatory filings (e.g., Forms ADV). Understands SEC rules and regulations and how they apply to our business. Reviews, edits and approves communications with investors and public. Supports adherence to Code of Ethics and overall compliance program. Drafts documents, affidavits, correspondence, releases, agreements, and other legal documents under supervision of VP-Assistant General Counsel. Adequately compiles and organizes materials; and compile relevant documents in databases and network drives to maintain an accessible file. Performs other duties and projects as assigned. Should have knowledge of securities laws, rules and regulations applicable to investment advisers. Must have 3-5 years in compliance and/or legal experience within the financial services industry. Should have 1-2 years’ experience as a paralegal in a corporate, government or private legal firm environment, with basic document drafting, reviewing and filing. General knowledge of private funds, advisers act preferred. Experience with Compliance Science or other monitoring software preferred.
4401 North Mesa
El Paso, TX 79902