Compliance and Legal Associate

ROLE OVERVIEW

PURPOSE OF JOB

SALI is searching for a self-motivated, hardworking and ambitious Compliance & Legal Associate who can provide internal support for the Director of Compliance and the General Counsel/Chief Compliance Officer.

The job involves a mix of approximately 75% compliance and 25% legal work. The Compliance and Legal Associate will be working closely with senior management as well as external clients and will need to have excellent written and verbal communication skills. This position is considered to be client-facing and “front office.”  

For the right individual, the firm considers the role very opportunistic with a lot of autonomy and tremendous room for growth.

MAIN RESPONSIBILITIES AND DUTIES

Compliance

• Assist with completing and tracking regulatory filings required by SEC, NFA/CFTC, and various states (Blue Sky), including Form D, Form ADV, Form PF/PQR.
• Assist with conducting AML reviews on/for clients and counterparties. Provide responsive information for external AML requests.
• Assist with conducting reviews, testing, and monitoring of compliance policies and procedures.
• Assist with Annual Compliance Reviews and Mock Audits.
• Support various regulatory engagement and reporting.
• Assemble compliance reports for the Chief Compliance Officer to review.
• Assist with the design and roll-out of compliance strategic initiatives.
• Collaborate with SALI’s Innovation team to create efficiencies and automation around compliance processes and reporting.
• Research current and proposed rules/regulations which may affect SALI’s business.

Legal and Fund Development

• Assist with new partnership, fund, and LLC formation, including drafting of investor communications and coordination with internal and external stakeholders.
• Collaborate with Client Relations and Fund Development Departments to ensure all legal, compliance, and contractual matters are addressed efficiently.
• Ensure timely preparation, submission, and tracking of annual reports, amendments, withdrawals, and other required filings to federal, state, and local agencies via SALI’s registered agent.
• Maintain client template forms and protocols for client-specific projects.
• Maintain master data files and responsibility for accuracy in document assembly software.
• Assist with ongoing offering document updates and communication to clients on those updates.
• Assist with corporate secretarial tasks.
• Manage non-disclosure agreement negotiation process.

ESSENTIAL REQUIREMENTS

• Bachelor’s degree.
• 2-4 years of paralegal or compliance experience, preferably in financial services with an SEC Registered Investment Adviser (RIA).
• Current Notary Public certification preferred.
• Microsoft Office Suite proficiency required.
• Strong PC-related skills (Microsoft SharePoint, Salesforce, ComplianceAlpha, and other software applications) preferred but not required.
• Experience with private funds (hedge funds) preferred.
• Ability to manage multiple deadlines and demands in a fast-paced working environment.
• Excellent written and verbal communication skills.
• Good attitude, flexibility, and willingness to take ownership of projects.

OUR COMMITMENT TO INCLUSION & WELLBEING

JTC is committed to fostering a healthy, inclusive organization where all individuals feel welcome and feel able to participate in the workplace fully. We value different perspectives, backgrounds and lived experiences. This includes supporting employee wellbeing so that people feel equipped to thrive.