Compliance Attorney; Investments Job Boston area,Massachusetts USA,Finance & Banking

Position: Compliance Attorney (Investments)
Summary:

Pay Rate: $60-70 per hour
Duration: 6 months with possible conversion
Work Mode: Remote (Boston or NY preferred, especially if considered for conversion, which requires 2-3 day in-office presence at NY location)

Responsibilities:

Support policies and processes to mitigate and manage potential conflicts arising from public and private investment activity.
Monitor deal pipeline, confer with deal teams as appropriate, and ensure appropriate tracking of potential transactions within systems.
Research potentially impacted public securities and issuers, as well as deal/company facts to support materiality determinations; validate ongoing review of developments and status.
Support review, negotiation, and execution of deal-related non-disclosure agreements.
Help drive transition to new compliance control room platform; work with colleagues to ensure successful integration with pipeline platform and migration of legacy data.
Support regulatory analysis on issues, including securities and insurance regulation matters.
Assist with monitoring/tracking of applicable regulatory and industry developments; draft related summaries, guidance, and proposed policy language as needed.
Participate as needed in a range of ad hoc and special projects with Compliance team and other colleagues e.g., risk assessments, regulatory reporting, firm and corporate governance, etc.
Broad understanding of investment compliance programs (code of ethics, policies, testing, controls, etc.) to offer on-site compliance support.

Requirements:

Competencies typically acquired through at least a bachelor’s degree and 2 or more years of relevant investment, compliance, or legal experience.
JD, control room experience, and experience with deal-related M&A non-disclosure agreements (NDAs) required.
Licensed to practice law in at least one state (any US state).
Experience with and solid understanding of various fixed income asset classes and investment products; experience with private credit a plus.
Basic knowledge of securities regulation and investment compliance topics - Investment Advisers Act of 1940, management of confidential and material non-public information, SEC and other regulatory requirements for buy-side institutional investors.

Preferred Skills:

Experience with control room/trading systems and related technology/data a plus (e.g., Dealcloud, MCO, Aladdin, Bloomberg, Pitchbook, CapIQ).
Desire to expand knowledge of regulatory/legal/compliance topics applicable to the asset management and insurance industries.
Strong verbal and written communication skills.
Strong ethical character; poise and confidence to interact with a wide range of colleagues; collegial team player.