9 дней назад
Legal & Compliance – Credit & Insurance (BXCI) – Regulatory Attorney, AVP
135 000 - 200 000$
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
Legal & Compliance – Credit & Insurance (BXCI) – Regulatory Attorney, AVP (Regulatory Compliance): Supporting investment businesses with SEC, CFTC, DOL, and securities-law compliance, including policies, disclosures, regulatory examinations, and advice for private credit and corporate bond trading strategies with an accent on regulatory interpretation, risk communication, and legal drafting. Focus on designing and revising compliance controls, coordinating responses to regulators and client requests, and implementing regulatory developments across investment, marketing, accounting, operations, and middle office functions.
Location: New York, United States
Expected annual base salary: $135,000–$200,000, plus discretionary bonuses and potential equity or other incentive compensation.
Company
is a global alternative asset manager with investment vehicles spanning private equity, real estate, public debt and equity, infrastructure, life sciences, growth equity, credit, real assets, and secondary funds.
What you will do
- Support Legal and Compliance leaders on matters involving the SEC, CFTC, DOL/ERISA, and U.S. and international securities laws.
- Develop, maintain, and revise compliance policies, procedures, controls, training, and the annual Rule 206(4)-7 review.
- Draft and review investor disclosures, communications, policy memoranda, DDQs, marketing materials, and client-request responses.
- Advise investment professionals, particularly on private credit and corporate bond trading strategies, and prepare compliance reports for investment teams and senior management.
- Respond to regulators, prepare for regulatory examinations, and conduct mock examinations with external consultants and counsel.
- Monitor regulatory developments, including sustainability-related developments, and implement responses across investment, marketing, accounting, operations, and middle office groups.
Requirements
- Attorney with 5+ years of experience in a law firm and as a compliance professional.
- Law firm experience is required; fund formation or regulatory practice experience is strongly preferred.
- Experience at a credit-focused asset manager or regulatory consultancy is preferred.
- Excellent communication, interpersonal, drafting, and risk-assessment skills.
- Ability to independently manage projects, work through ambiguity, and collaborate with varied stakeholders in a fast-paced environment.
- Calm, proactive, conscientious, and capable of working independently while contributing to a collaborative Legal and Compliance team.
Culture & Benefits
- Comprehensive medical, dental, vision, and FSA benefits.
- Paid time off and life insurance.
- 401(k) plan.
- Discretionary bonuses, with potential eligibility for equity and other incentive compensation.
- Equal employment opportunity and reasonable accommodation support are provided.
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