Associate Director

About the Company

Our client is an asset management firm focusing on credit strategies with over $40 billion in AUM.

• Coordinate across the firm on fund and managed account compliance and regulatory matters including SEC and CFTC registrations, ERISA, and federal, state and international securities laws
• Review marketing materials, due diligence responses, investor communications and other fundraising and reporting related materials across various investment strategies
• Coordinate and prepare U.S. and foreign regulatory reports and filings
• Assist with forensic testing for annual compliance review
• Assist with the compliance monitoring program including testing of investment guidelines and employee compliance requirements
• Support selected firm-wide legal and compliance initiatives

• Bachelor’s degree required
• 3-7 years of experience in a compliance role
• J.D. required
• Understanding of federal securities law and regulations strongly preferred
• Experience with private fund marketing or distribution compliance a plus
• Experience using compliance software/programs that support monitoring, reporting, and risk assessment activities
• Ability to interpret legal and business terms and grasp concepts quickly

$150,000-$200,000