Global investment Benefit Corporation and asset manager, focused on designing, financing, developing, and operating sustainable infrastructure that improves people's lives, is interested in bringing on a Corporate Compliance Associate in Washington, DC. The role will focus on Corporate Governance and SEC Compliance, and will assist with the compliance monitoring and testing program in a fast-paced and entrepreneurial environment. 3-5 years of compliance experience at a private fund manager or regulatory agency ideal.
Key Responsibilities:
- Maintenance of Corporate Governance documents and corporate life (LLCAs, LPA, Resolution,
etc.)
- Support in corporate contractual management, and provide support to business development
- Assisting with preparation of certain regulatory filings such as ADV, PF, BEA, as well as certain
non-US compliance-related filings (Canada).
- Monitor compliance with the Code of Ethics, as well as policies, procedures and protocols,
including those in respect of personal trading, political contributions, outside business activities
and gifts and entertainment.
- Preparing all reporting and filing obligations and monitoring the compliance activities of
the company (lobbyist registration, marketing and advertising materials).
- Participate in risk monitoring of all investment vehicles managed by the company
- Participate in the regular compliance testing and monitoring of the compliance processes and
procedures
- Aid the company in being “exam ready" for future SEC/Regulatory exams
- Assisting with maintenance, organization, and filing of compliance books & records.
- Assisting with other compliance-related projects as needed (the company is an ISO 9001 and 37001 certified group).
- Partner with finance, IR, and investment operations teams to ensure integration of the
compliance program across the firm.
- Assist with preparing compliance training materials and conduct training.
- Stay current on new and upcoming regulations and practices affecting operations.
- Identify, develop, and implement process, practice, and policy improvement initiatives.
Requirements:
• Bachelor’s Degree required; JD or Masters a plus
• Minimum three- five years’ experience in the financial services/fund management field with a
focus on SEC compliance. Private Equity Fund exposure is preferable; understanding of
private equity fund structures, operations, and administration
• Knowledge of the Investment Advisers Act of 1940, as amended
Corporate Compliance Associate in Washington DC-Baltimore Area at VOYlegal
This position is listed as contract and onsite. It was posted 4 days ago.