Corporate Compliance Associate

VOYlegal; Washington (District of Columbia); On-site; USD 110,000 - 160,000; Full time

Job summary

Global investment Benefit Corporation and asset manager is seeking a Corporate Compliance Associate in Washington, DC. The role focuses on Corporate Governance and SEC Compliance, supporting monitoring and testing programs in a fast-paced environment.

Ideal candidates have 3–5 years’ compliance experience in private fund management or a regulatory setting, with knowledge of the Investment Advisers Act and related statutes. JD or Master’s degree is a plus.

Qualifications

• Bachelor’s Degree required; JD or Masters a plus.
• 3–5 years’ experience in financial services/fund management with focus on SEC compliance.
• Private Equity Fund exposure preferable; understanding of private equity fund structures, operations, and administration.
• Knowledge of the Investment Advisers Act of 1940, as amended.

Responsibilities

• Maintain corporate governance documents and corporate life (LLCAs, LPA, Resolution, etc.).
• Support in corporate contractual management and provide support to business development.
• Assist with regulatory filings such as ADV, PF, BEA, and non-US filings (Canada).
• Monitor Code of Ethics and policies, including personal trading, political contributions, OBA and gifts.
• Prepare reporting and filing obligations and monitor lobbying registrations and advertising materials.
• Participate in risk monitoring of investment vehicles managed by the company.
• Assist with compliance training materials and conduct training.
• Stay current on new regulations affecting operations and implement process improvements.

Skills

SEC compliance

Governance

Regulatory monitoring

Financial services

Policy development

Education

Bachelor’s Degree

JD or Masters a plus

Job description

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