Legal & Compliance Analyst

taylor rootJacksonville, FL3 days ago

Occupations

Compliance Managers Compliance Officers Paralegals and Legal Assistants

Industries

Miscellaneous Financial Investment Activities Portfolio Management and Investment Advice Trust, Fiduciary, and Custody Activities

We are working with a private investment firm seeking a Legal & Compliance Analyst to join its team. This is a broad, hands-on opportunity for someone with 2-5 years of legal and/or compliance experience who is interested in gaining exposure across regulatory compliance, fund and investor matters, and legal operations.

Responsibilities:

Support regulatory filings, including Form ADV, Form PF, Form D, Blue Sky notices and Section 13 filings
Assist with AML/KYC and investor onboarding, including review of subscription documentation
Administer Code of Ethics requirements, personal trading, restricted lists, gifts and entertainment, and political contributions
Assist with compliance testing, annual reviews, policies and procedures, and SEC examinations
Support review and administration of subscription agreements, side letters, fund/SPV and entity documentation
Work with outside counsel on fund and legal matters
Assist with vendor contracts, third-party risk management and entity administration
Support Marketing Rule, privacy and cybersecurity compliance initiatives
Help develop scalable processes and leverage AI and technology tools to improve workflows

Qualifications:

Bachelor’s degree required 2-5 years of legal, compliance or related experience with an RIA, private fund manager, fund administrator or similar investment management organization
Exposure to private equity, venture capital or other private market strategies preferred
Familiarity with fund structures and related documentation is a plus
Strong attention to detail with the ability to independently manage multiple priorities
Interest in working across both Legal and Compliance
Comfort with technology and enterprise AI tools
This is a fully remote U.S.-based opportunity.
We are particularly interested in candidates who enjoy a broad, generalist role and want to develop their experience across Legal, Compliance and Fund/LP matters.

Apply now

Level

SeniorL5

Location

Jacksonville, FL

Occupation

Compliance Managers

Industry

Miscellaneous Financial Investment Activities

Posted

3 days ago

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