Legal & Compliance Analyst
taylor rootSacramento, CA
Legal & Compliance Analyst
L5
taylor rootSacramento, CA3 days ago
Industries
Miscellaneous Financial Investment ActivitiesPortfolio Management and Investment AdviceTrust, Fiduciary, and Custody ActivitiesWe 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
Sacramento, CA
Occupation
Compliance Managers
Industry
Miscellaneous Financial Investment Activities
Posted
3 days ago
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