Legal & Compliance Associate

Legal & Compliance Associate

Venture Fund-of-Fund & Family Office

San Francisco

Overview

Hiring Company is a family office and alternative investment firm located in San Francisco. They strive to hire individuals interested in performing in challenging and demanding roles. Job experience, skills, and an excellent attitude are all equally critical to succeed in the role. The position described below requires a customer support orientation, a disposition to work and assist others to maximize productivity and efficiency. Previous experience in a small organization with a complex business and performing a diversity of responsibilities would be helpful to be in tune with this position.

The Company is seeking a Legal and Compliance Associate based in San Francisco who will skillfully and accurately assist the Company’s attorneys with respect to the oversight, coordination and execution of the Company’s general legal and governance issues, regulatory compliance, and investment activities.

As a member of the Legal & Compliance team, the Legal and Compliance Associate will also contribute to the group’s ability to develop, drive, and execute its own team-specific goals and objectives as well as assist in the execution of overall Company goals.

The Legal and Compliance Associate will report to the General Counsel and Chief Compliance Officer.

Essential Responsibilities

• Assist the Company’s attorneys and outside counsel with the formation of the Company’s new investment funds and special purpose vehicles, including drafting and filing of formation documents, arranging for the execution of partnership agreements and ancillary documentation, establishing and populating investor data rooms, collecting and reviewing completed commitment documents and limited partner AML/KYC information, and coordinating with accounting and operational colleagues regarding the issuance of capital calls. Work with the Company’s attorneys to draft and make the appropriate state and federal regulatory filings with respect to the Company’s new investment funds and special purpose vehicles.
• Supervise ongoing legal and governance issues related to the Company’s funds. Coordinate with the funds’ administrators on recordkeeping matters, including maintenance of funds’ registers of limited partners and AML/KYC documentation. Work with the Company’s attorneys to review transfer agreements and effectuate transfers of limited partnership interests as appropriate. Assist with the preparation, review, and distribution of Company communications with limited partners. Maintain the Company’s organization chart.
• Manage certain regulatory compliance activities related to the Company’s investments and funds that typically occur on a set schedule. Maintain and update the Company’s compliance tracker to ensure timely regulatory filings, reviews and trainings. Assist the Company’s attorneys with annual compliance reviews, updates to the Company’s compliance manual and maintenance of fund- and compliance-related files.
• Respond to miscellaneous day-to-day matters and ad-hoc requests from investment and operations teams, including assisting with non-disclosure agreements, service agreements, and other routine commercial contracts.
• Continually and proactively work towards becoming an indispensable contributor to the Company. This may include: managing legal invoice review and allocation; assisting other team members with the investigation of evolving laws and regulations; supporting ad-hoc legal projects; helping the team recognize opportunities for workplace efficiencies; and helping to identify ways this position can support evolving the Company’s priorities/ workloads.

Required Skills & Abilities

• Familiarity with financial- and fund-related terms; interest in gaining a greater understanding of the legal and regulatory framework relating to private funds and investment management; ability to read structure charts and signature blocks.
• Experience negotiating, summarizing, and organizing various commercial contracts preferred.
• Proficiency with Microsoft Office Suite, including Excel.
• Experience using advanced software, virtual data rooms and/or legal agreement management tools to upload, version control, redline and organize documents, or AI-related programs.
• Operating with honesty, integrity, respect, and discretion.
• Exhibiting exceptional judgment.
• Being highly organized and effective at planning.
• Being self-motivated and proactive; taking initiative.
• Consistently showing superior attention to detail.
• Demonstrating a commitment to teamwork.

Education and Experience

• Bachelor’s degree in a relevant field.
• Paralegal certification a plus.
• Notary Public license a plus.
• At least 1-2 years of relevant work experience in a similar position preferred, ideally in the finance industry with a Registered Investment Advisor. The Company is willing to train highly-motivated candidates with an interest in the finance industry and a future career in law.