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Compliance Counsel/Paralegal

A large Asset Management client of ours is looking for an experienced Legal professional to take on a role as Compliance Counsel/Paralegal to support the General Counsel with duties listed below. Experience working for a financial institution, ideally at a broker dealer or investment advisory firm would be best and we want to review profiles with 2+ years' worth of experience in this space. The role is based in San Diego, but travel may be required also. 



  • Assist on fund launches with project team to ensure proper legal formation of entity, including obtaining Tax ID, CUSIP, and CA state registration; ensure all required legal documents are on file
  • Coordinate with legal counsel for corporate filings (i.e: 8K, 10K, etc.)
  • Coordinate and maintain tracking of selling and distribution agreements with third parties, as needed
  • Ensure offering documents are updated periodically and available for new investors
  • Monitor and coordinate Blue Sky Filings
  • Review, complete and coordinate checklists and requests for documents from managers, brokers, investors, and regulators
  • Assist with quarterly and annual Fund reporting as needed (Form PF, CPO-PQR, ADV, etc.)
  • Review legal documents such as NDAs and vendor contracts
  • Assist with legal review of legal documents and disclosures for new investments within the Funds as needed
  • Maintain books and records as required by regulatory agencies



  • Law degree or experience as a Paralegal
  • 2-3 years of Compliance experience within the financial industry (preferably with an asset-management or broker-dealer firm)
  • Current Series 3, 7, 66 and/or 24 licenses
  • Strong interpersonal and communication skills to facilitate effective communication and collaboration across all organizational levels
  • Ability to thrive in a demanding and fluid environment with frequent changes in workflow and project priorities
  • Strong analytical and project management skills with the ability to identify issues and propose solutions
If you are interested in this or similar roles, please contact Matt Lang at