Junior Compliance Officer

Alger; New York (NY); On-site; USD 80,000 - 100,000; Full time

Benefits offered by this job

Discretionary bonus

Competitive compensation

Job summary

Alger seeks a Junior Compliance Officer in New York to support the legal and compliance teams. You will help draft, edit, revise and review regulatory documents, contracts, and board materials, ensuring alignment with applicable laws and firm policies.

With 2–4 years of fund experience, you will assist in SEC and FINRA compliance, organize board materials, and help develop policies to detect violations while maintaining high attention to detail and excellent written communication skills.

Qualifications

• Bachelor's degree in Finance, Business Administration, Legal Studies or related field
• GPA 3.0+ on a 4.0 scale
• 2–4 years' prior experience with mutual funds or ETFs
• Detail-oriented with strong organizational and writing skills
• Ability to manage multiple priorities and work under pressure

Responsibilities

• Assist in drafting, editing, revising, and reviewing regulatory documents and policies
• Prepare contracts and filings for U.S. and non-U.S. funds
• Compile board meeting materials and draft minutes
• Review disclosure documents and marketing materials
• Support SEC and FINRA compliance requirements
• Develop and implement policies to detect securities law violations

Skills

Word

Excel

EDGAR

Mutual fund/ETF knowledge

Education

Bachelor's degree in Finance, Business Administration, Legal Studies or related field

GPA 3.0+ on a 4.0 scale

Job description

Job Title: Junior Compliance Officer

Reports to (title): Assistant Counsel

Job Description:

Alger seeks a highly motivated, experienced, and collaborative individual to serve as a Junior Compliance Officer. The Junior Compliance Officer will aid the SVP, General Counsel, Assistant and Associate Counsels, and Compliance Officers by providing support in the drafting, editing, revising and reviewing of regulatory documents, policies and procedures, contracts, marketing materials, and board materials. The role aims to support and facilitate Alger's business to be conducted in compliance with applicable laws, regulations and firm policies.

Duties & Responsibilities:

• Assist in the preparation and execution of contracts and agreements for U.S. and non-U.S. registered funds and corporate entities
• Aid in the preparation of registration statements, supplements, and related filings via a prospectus content management system
• Compile, organize and review agendas and materials for Board of Trustees meetings; draft minutes of meetings; liaise with Board of Trustees on advisory and distribution matters
• Review disclosure documents, including shareholder reports
• Assist legal and compliance with SEC and FINRA requirements
• Organize and maintain fund related electronic filings
• Prepare and file Section 13 filings
• Monitor and review new and proposed regulations impacting investment advisers and funds
• Perform legal research using the internet and other resources
• Under supervision, help to develop, draft and execute policies and procedures that are designed to detect and prevent violations of the federal securities laws and mitigate various types of risk, including compliance and operational risk
• Review and file marketing materials, including RFPs and due diligence questionnaires
• Will also work on additional projects/duties as assigned

Qualifications:

• Bachelor's degree in Finance, Business Administration, Legal Studies or a related field, or an equivalent combination of education and experience.
• Cumulative GPA of 3.0 or above in a 4.0 scale is required
• 2-4 years' prior experience, preferably working with Mutual Funds or ETFs
• Experience with annual report reviews a plus
• Exceptionally detail-oriented
• Demonstrated ability to work on multiple priorities at any given moment
• Strong communication skills both oral and written with strong follow-up
• Position requires the ability to work well independently and as part of a team, under pressure, and to demonstrate resourcefulness in problem solving
• Strong writing skills
• Strong organizational skills

Skills:

• Required proficiency in Word, Excel, EDGAR (i.e. SEC electronic filing System)
• Knowledge of the mutual fund and ETF industry and applicable securities laws (including Investment Company Act and Investment Advisers Act)

Salary Expectations: $80,000-100,000 base salary plus discretionary bonus per performance

Note:This job description should not be construed to imply that these requirements are the exclusive standards of the position. Incumbents will follow any other instructions, and perform any other related duties, as may be required. The employer has the right to revise this job description at any time. This job description is not to be construed as a contract for employment.