Portfolio Compliance Attorney

Lawyers on Demand, a Consilio Company, is one of the largest and fastest growing global legal services businesses, and as a ‘new law’ pioneer, we continue to lead the market we’ve created. With a global team of over 600 attorneys and consultants working across secondments, legal advisory services, and legal operations & tech solutions, we invite you to be part of our exciting journey.

Position Details: Full-time, indefinite contract role. Start date: ASAP. Duration: through end of year with potential for extension. Hours: 40/week. Location: Remote, NYC preferred.

Responsibilities

• Analyze investment guidelines of 1940 Act funds and create corresponding compliance rules
• Support new fund launches through implementation of compliance rules
• Update compliance rules based on changes in prospectus disclosures and investment guidelines
• Ensure compliance with prospectus guidelines, regulatory requirements, and applicable EIM policies and procedures relating to 1940 Act funds
• Collaborate with internal stakeholders and external vendors/sub-advisers
• Assist in development of the compliance program for 1940 Act funds, including implementation of new regulations
• Assist with regulatory filings, annual compliance reviews and testing, and applicable board reporting obligations
• Investigate, resolve, and remediate compliance errors in coordination with internal and external stakeholders
• Assist with the ongoing compliance and risk management requirements of the funds’ Derivative Risk Management Program

Requirements

• At least 5 years of portfolio compliance experience
• Strong knowledge of the Investment Company Act of 1940 and Investment Advisers Act of 1940
• Oversight of the compliance system monitoring post-trade activity, including escalation and resolution of issues
• Experience supporting 1940 Act fund launches, ongoing fund compliance, testing, disclosures, and regulatory filings

Pay

$90/hour