Job Description

A private investment firm is seeking a legal/compliance officer to join their team in the NYC office.

Responsibilities:

• Assist legal team and management regarding various legal matters related to the operation of the firm, investor relations, and legal liability management
• Collaborate with legal team and management regarding fund formation matters, including as it relates to partnership agreements, subscription agreements and side letters
• Assist with the management, maintenance and ongoing development of the firm’s compliance program (including administering the code of ethics and employee requests and certifications, conducting annual and periodic compliance reviews, coordinating internally and externally on subscription agreement review and AML, KYC and related FCPA matters and managing expert network usage)
• Ensure comprehensive and timely compliance with federal and state securities laws, including the SEC, CFTC, and relevant industry regulations and filings
• Provide support for corporate transactions, including oversight of due diligence, reviewing, negotiating and drafting NDAs, term sheets, partnership agreements and acquisition documents
• Review and update marketing and investor relations materials
• Assist with non-U.S. private fund marketing reviews and coordination
• Draft, review, and manage agreements and related matters pertaining to the routine business operations of the firm
• Work with external counsel and alternative provider relationships

Requirements:

• Bachelor Degree and JD Degree
• Minimum of 2 to 3 years of relevant work experience in the asset management practice group of a law firm or 4 years of relevant work in the in-house legal or compliance department of a registered investment adviser and private fund manager.
• Experience in investment fund compliance (including federal and state securities laws compliance and managing relevant regulatory filings and deadlines) and investment fund structuring
• Negotiating and reviewing fund formation documents (including partnership agreements, side letters, and subscription agreements for flagship fund vehicles and separately managed accounts).

4 days per week working from the mid-town Manhattan office.

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