What are the responsibilities and job description for the Legal and Compliance Associate position at Atlantic Group?
Location: Midtown Manhattan
Compensation: $130k-$160k Bonus
Responsibilities:
- Compliance Monitoring: Oversee employee personal trade reviews, certifications, and gift/entertainment requests.
- Regulatory Tracking: Manage compliance areas such as proxy voting, NDA trackers, and vendor due diligence processes.
- SEC & Regulatory Filings: Assist with preparation and submission of filings, including foreign ownership disclosures.
- Training & Onboarding: Facilitate compliance training for employees and ensure seamless onboarding for new hires.
- Expert Network Oversight: Approve, log, and monitor expert network calls to maintain compliance standards.
- Issue Resolution: Research, resolve, and escalate compliance issues with actionable recommendations.
Qualifications:
- 4 years of experience in in-house legal and/or compliance department (JD from an accredited law school is a plus)
- Knowledge of the Investment Advisers Act of 1940 and its related rules and regulations, as well as broad knowledge of financial industry compliance programs
- Strong time management, planning and organizational skills.
- Ability to work independently but also collaborate in a team-oriented, cross functional and fast paced environment.
- Strong communication skills.
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Salary : $130,000 - $160,000
