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US - Staffing - Compliance Attorney

Mindlance

New York, NY(remote)

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JOB DETAILS
SALARY
$75–$75 Per Hour
SKILLS
Academic Background, Analysis Skills, Asset Management, Attorney, Communication Skills, Conflict Resolution, Corporate Governance, Data Migration, Detail Oriented, Documentation, Finance, Fixed Income Investments, Insurance, Insurance Regulations, Investment Services, Legal, Managed Care, Materials Management, Negotiation Skills, New Drug Application, Non-Disclosures, On Site Support, Presentation/Verbal Skills, Regulations, Regulatory Compliance, Regulatory Reports, Regulatory Requirements, Risk Analysis, Securities, Securities Investments, Securities and Exchange Commission (SEC), Systems Administration/Management, Team Player, Trading Systems, Transaction Processing/Management, Writing Skills
LOCATION
New York, NY
POSTED
23 days ago
Manager Intake Call Notes:
Compliance Attorney for Software Compliance

" Max Bill Rate: *** hr***

" Location: Remote (Boston or NY preferred especially if they are being considered for conversion. Conversion requires 2-3 day in-office presence at NY location (NY only, not Boston) will not convert remote contractors).

" Duration: 6 months with possible conversion

" What stands out on a resume/most important skillset: attention to detail, solid academic background, relevant experience

" Is there a preference for industries the candidates have worked in: Finance / Asset management

" Most important skillset: JD plus experience with support review, negotiation, control room, and execution of deal-related non-disclosure agreements within Finance. 2 or more years of relevant investment, compliance or legal experience. 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.

" Can you tell me what the person's day to day will be like: Working on a lot of NDAs and helping out with systems management. The deals are varied and interesting. Review and negotiate deal-related non-disclosure agreements (NDAs). Research relevant company and deal details to support materiality determinations and conflicts assessments. Ongoing review of deal developments and status; ensure appropriate tracking of potential transactions within the systems.

The Position:

The Compliance team is looking for a compliance attorney to assist with control room function to support scaling private investment activity. This role requires frequent interactions with investment teams and partners and a general understanding of this process wall-crossing, conflicts checks, company research, non-disclosure agreements, and documentation/monitoring in the systems.

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 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.) in order to offer on-site compliance support.

Qualifications:

" 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
" 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 wide range of colleagues; collegial team player

EEO:

Mindlance is an Equal Opportunity Employer and does not discriminate in employment on the basis of Minority/Gender/Disability/Religion/LGBTQI/Age/Veterans.

About the Company

M

Mindlance