Legal and Compliance Associate

About the role

Cercano Management LLC is seeking a Legal and Compliance Associate to support the Legal and Compliance Department. This role plays an integral part in supporting the Senior Paralegal, Associate General Counsel, and Chief Compliance Officer.

Responsibilities

• Aid in the development, maintenance, and organization of legal and compliance records, document management systems, and knowledge management resources.
• Support the review, coordination, and tracking of legal agreements, including confidentiality agreements, vendor contracts, subscription documents, operating agreements, side letters, and other fund or investment-related documentation.
• Maintain databases and trackers for legal documents, regulatory filings, compliance certifications, employee activities, corporate governance matters, and other recurring legal and compliance processes.
• Aid in corporate governance and transactional matters, including entity formation and maintenance, annual reporting, subscription materials, transfer documentation, closing binders, and internal approval processes.
• Prepare, organize, and maintain structure charts, AML/KYC materials, investor or counterparty diligence materials, and responses to related requests.
• Aid in regulatory and securities filings, including EDGAR filings, ADV, individual registrations, and other legal or compliance filings, as applicable.
• Coordinate with attorneys, investment professionals, operations, finance, accounting, external counterparties, service providers, and consultants regarding project status, deadlines, documentation, and follow-up items.
• Support compliance program administration, including employee certifications, personal trading processes, marketing review tracking, training records, annual review materials, vendor due diligence, and other compliance monitoring activities.
• Schedule and coordinate internal and external meetings, conference calls, and follow-up items for legal and compliance matters.
• Perform ad hoc legal, compliance, and administrative projects as needed.
• Maintain a high level of confidentiality, professionalism, and discretion in all interactions.

Qualifications

• Relevant experience in a legal, compliance, corporate governance, investment management, private fund, financial services, or law firm environment.
• Experience reviewing, drafting, organizing, and tracking agreements, legal documents, diligence materials, regulatory filings, or compliance records.
• Excellent organizational, writing, and interpersonal skills.
• Highly organized and detail oriented, able to work both collaboratively and independently.
• Professional demeanor, resourceful, and able to handle multiple and changing priorities.
• Strong work ethic, sound judgment, and commitment to accuracy, confidentiality, and professionalism.
• Ability to work well in a fast-paced environment with a demonstrated sense of urgency, responsiveness, and commitment.
• Proficiency in SharePoint and Microsoft Office software (e.g. Word, Excel, OneNote, Teams, PowerPoint, and Outlook).
• Proficiency in contract lifecycle management tools and e-signature platforms is helpful.
• Proficiency in compliance software systems is also helpful.
• B.A. or B.S. degree from an accredited institution and a minimum of 2-3 years relevant legal, compliance, corporate governance, investment management, or financial services experience.
• Paralegal certificate, compliance certification, or other relevant professional credential beneficial but not required.
• Familiarity with investment management, private funds, corporate transactions, securities law compliance, or regulatory filings preferred.

Pay

The salary range for this position is $81,170 - $121,760 annually, with a target hiring range of $81,170 - $101,460 based on experience, qualifications, and job-related factors. Salary details: Pay will be based on multiple factors, including, and not limited to location, relevant experience/level and skillset while balancing internal equity. Our discretionary bonus program is in addition to the base compensation range listed above.