Compliance Attorney (Investments) (14)

Investment Compliance Specialist

Pay Rate: $60-70 per hour

Duration: 6 months with possible conversion

Work Mode: Remote (Boston or NY preferred, especially if considered for conversion, which requires 2-3 day in-office presence at NY location)

Responsibilities:

• Support policies and processes to mitigate and manage potential conflicts arising from public and private investment activity.
• Monitor deal pipeline, confer with deal teams as appropriate, and ensure appropriate tracking of potential transactions within systems.
• Research potentially impacted public securities and issuers, as well as deal/company facts to support materiality determinations; validate ongoing review of developments and status.
• Support review, negotiation, and execution of deal-related non-disclosure agreements.
• Help drive transition to new compliance control room platform; work with colleagues to ensure successful integration with pipeline platform and migration of legacy data.
• Support regulatory analysis on issues, including securities and insurance regulation matters.
• Assist with monitoring/tracking of applicable regulatory and industry developments; draft related summaries, guidance, and proposed policy language as needed.
• Participate as needed in a range of ad hoc and special projects with Compliance team and other colleagues e.g., risk assessments, regulatory reporting, firm and corporate governance, etc.
• Broad understanding of investment compliance programs (code of ethics, policies, testing, controls, etc.) to offer on-site compliance support.

Requirements:

• Competencies typically acquired through at least a bachelor's degree and 2 or more years of relevant investment, compliance, or legal experience.
• JD, control room experience, and experience with deal-related M&A non-disclosure agreements (NDAs) required.
• Licensed to practice law in at least one state (any US state).
• Experience with and solid understanding of various fixed income asset classes and investment products; experience with private credit a plus.
• Basic knowledge of securities regulation and investment compliance topics - Investment Advisers Act of 1940, management of confidential and material non-public information, SEC and other regulatory requirements for buy-side institutional investors.

Preferred Skills:

• Experience with control room/trading systems and related technology/data a plus (e.g., Dealcloud, MCO, Aladdin, Bloomberg, Pitchbook, CapIQ).
• Desire to expand knowledge of regulatory/legal/compliance topics applicable to the asset management and insurance industries.
• Strong verbal and written communication skills.
• Strong ethical character; poise and confidence to interact with a wide range of colleagues; collegial team player.