Compliance Counsel/Paralegal
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Location
San Diego, CA, USA
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Sector:
Financial Services & Corporate Governance, Legal, Compliance & Financial Crime
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Job type:
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Salary:
$100,000 - $120,000
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Contact:
Matt Lang
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Contact email:
m.lang@hamlynwilliams.com
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Salary high:
0
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Salary low:
0
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Published:
22 days ago
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Expiry date:
2019-05-01
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Startdate:
Immediate
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.
Responsibilities:
- 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
Requirements:
- 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