Legal and Compliance Registered Funds Associate

Location: New York, New York

About the Opportunity

Our group is the global credit investment platform of a large Multi-Billion AUM Asset Manager. Our credit segment has approximately $144 billion of assets under management and serves as one of the largest alternative managers in the world focused on the leveraged-finance, or non-investment grade related, marketplace. We seek to generate attractive risk-adjusted returns in our business by investing in a broad array of strategies including mezzanine debt, distressed investing, leveraged loans and other special-situation strategies. Our funds are major providers of credit for small and middle-market companies and they also advance rescue financing to help distressed companies.


Job Responsibilities

  • Work collaboratively and productively with lawyers, compliance professionals and business professionals within the firm and externally to achieve successful outcomes;
  • Assist in registered investment company activity, such as registered offerings and continuous disclosure and registration filings in the United States and foreign jurisdictions, including FINRA and Blue Sky filings;
  • Review investor communications, due diligence responses, marketing materials and other fundraising and reporting documents from a legal, regulatory and compliance perspective;
  • Assist in co-ordination of quarterly and ad hoc meetings with multiple boards of directors, including review of minutes, resolutions and presentations;
  • Assist in maintaining compliance policies, processes and standards, including maintenance of registered funds’ compliance programs;
  • Assist in assessing current and future applicable legal and compliance developments and communicating these updates to legal, compliance and business personnel; Assisting with other day-to-day legal and compliance matters and processes as needed; and
  • Preparing and conducting training regarding registered investment company legal and compliance issues.


Job Requirements

  • Law degree preferred but not mandatory.
  • Third to fifth year registered or private funds or capital markets attorney at a national law firm;
  • Ability to work in an extremely fast-paced environment related to a growing and global business;
  • Strong academic credentials;
  • Understanding of the Securities Act, Securities Exchange Act, Investment Company Act, Investment Advisers Act and FINRA rules;
  • Critical attention to detail and analytical skills;
  • Strong drafting and organizational skills;
  • Ability to communicate confidently and effectively;
  • Ability to work independently while remaining a strong team player;
  • Sharp intellect and ability to understand difficult, complex compliance and business issues; and
  • High initiative, creativity and drive.