1 Legal & Compliance Associate Job in Manhattan, NY

SORT BY

SET JOB ALERT

OFF

Details...

Legal & Compliance Associate

Madison-Davis, LLC

Manhattan, NY | Full Time

$85k-107k (estimate)

3 Weeks Ago

Legal & Compliance Associate

Madison-Davis, LLC Manhattan, NY

$85k-107k (estimate)

Full Time | Business Services 3 Weeks Ago

Save

Sorry! This job is no longer available. Please explore similar jobs listed on the left.

Madison-Davis, LLC is Hiring a Legal & Compliance Associate Near Manhattan, NY

Private equity firm located in Midtown Manhattan looking to bring on board a ” Legal & Compliance Associate ” to join their team. They are currently in office (4 days a week).
Responsibilities:

Supervise firm’s compliance monitoring technology platform and review Code of Ethics pre approvals.
Support business with questions related to compliance with company policies.
Administer and monitor quarterly attestations including outside business activities, gifts and entertainment review, and political contributions.
Play an active role in the maintenance, surveillance and enhancement of firm’s compliance policies and procedures.
Assist with the overall organization and operation of the compliance functions.
Maintain compliance records.
Liaise with the firm’s marketing team and review marketing materials.
Coordinate completion and submission of regulatory filings, including Form ADV, Form PF, and others.
Perform regulatory analysis with respect to SEC rulemaking.
Assist with fund onboarding and investor AML/KYC.
Manage personal trade review compliance program.
Support overall functions of the Legal and Compliance Department for the investment adviser and broker-dealer.