Robert Half Financial Services are recruiting for a Legal & Compliance Analyst role within a Wealth Manager based in midtown Manhattan, New York. Our client requires at least 2 to 5+ years’ of Investment Compliance or Paralegal experience at a wealth manager or investment management firm. **This role is initially fully remote however will eventually be based out of the midtown Manhattan New York office**
- Support legal and compliance department in corporate and investment transactions and assist with due diligence efforts and follow-on transaction compliance as needed
- Manage business entity documents such as monitoring and updating various state and SEC regulatory filings as well as internal corporate policies
- Independently review template contracts and NDAs within defined parameters and maintain and periodically update legal department template contracts
- Assist legal and compliance department with corporate governance-related matters, including maintaining corporate books and records and preparing and organizing materials for board meetings such as agendas, resolutions and meeting minutes
- Study, analyze and review complex legal documents to respond to questions from internal clients
- Conduct research using available resources to resolve issues
- Obtain appropriate internal and external signatures for legal documents
- Oversee service of third-party legal, corporate governance and administration service providers
- Serve as custodian of corporate records and upload legal documents into document management systems
- Respond to any requests, including responses to AML/Know Your Client requests, subpoenas, discovery requests, preparing documentation, and managing files
- Provide general support to legal and compliance departments and assist with special projects, as needed
- 2 to 5+ years’ of Investment Compliance or Paralegal experience at a wealth manager or investment firm.
- Knowledge of SEC Regulations, 1940 Act/Investment Advisers Act, Investment Company Act, asset management, investment funds and related transactions needed.
- Strong attention to detail and excellent organizational skills
This Legal & Compliance Analyst role is located in midtown Manhattan New York so please only apply if you are able to travel to this location, have relevant experience for the role and are eligible to work in the United States. The salary is dependent on experience, however the initial range is $75-100k base plus bonus. If your profile matches the above criteria, please contact me on **email@example.com**