Analyst, Legal & Compliance
Position: Analyst, Legal and Compliance
Location: New York, NY
The ideal candidate will possess superior organizational skills and be equipped with the ability to assist in maintaining a robust legal and compliance program and manage team-specific and company-wide initiatives. This person must be professional, hardworking, detail-oriented and enjoy the challenges of working with a team of hedge fund professionals in a fast-paced, entrepreneurial environment.
Duties & Responsibilities
- Assist the Legal and Compliance team in the execution of the firm’s compliance program by meeting regulatory requirements and overseeing employees’ adherence to internal policies
- Work closely with the General Counsel/Chief Compliance Officer and Legal & Compliance Associate on all matters related to the compliance program
- Review and revise legal documentation, including Non-Disclosure Agreements, Sub-Advisory Agreements, vendor contracts, Side Letter Agreements and internal compliance policies
- Support the maintenance of the firm’s Operational Due Diligence program by analyzing counterparties’ operational controls and risks and participating in due diligence meetings
- Prepare regulatory filings in coordination with the Legal and Compliance and Finance teams and ensure they are submitted prior to any applicable deadlines
- Conduct compliance training and testing and assist in the administration of the firm’s cybersecurity program
- Monitor various news outlets and industry publications to ensure the team is aware of any new or ongoing developments related to investment advisory regulations and the asset management industry as a whole
- Manage multiple tasks simultaneously; problem solve and follow through on issues in a timely manner
- Contribute efforts to any other related projects that may arise in the course of business
Qualifications
- Bachelor’s degree and 1 to 4 years of post-collegiate work experience required
- Ability to operate effectively in a team and multi-task required
- Excellent organizational aptitude, time management skills, detail orientation, outstanding work ethic and strong interpersonal skills required
- Proficiency in Microsoft programs such as Word and Excel considered favorably
- A desire to succeed in an entrepreneurial environment
Overview of Prelude Capital
Prelude is a New York City based multi-manager hedge fund adviser with allocations outstanding of more than $2.5 billion. The firm manages capital for institutional investors in a highly diversified portfolio of investment strategies, asset classes and geographies directed by established hedge funds and individual portfolio managers.
Location: New York, NY
The ideal candidate will possess superior organizational skills and be equipped with the ability to assist in maintaining a robust legal and compliance program and manage team-specific and company-wide initiatives. This person must be professional, hardworking, detail-oriented and enjoy the challenges of working with a team of hedge fund professionals in a fast-paced, entrepreneurial environment.
Duties & Responsibilities
- Assist the Legal and Compliance team in the execution of the firm’s compliance program by meeting regulatory requirements and overseeing employees’ adherence to internal policies
- Work closely with the General Counsel/Chief Compliance Officer and Legal & Compliance Associate on all matters related to the compliance program
- Review and revise legal documentation, including Non-Disclosure Agreements, Sub-Advisory Agreements, vendor contracts, Side Letter Agreements and internal compliance policies
- Support the maintenance of the firm’s Operational Due Diligence program by analyzing counterparties’ operational controls and risks and participating in due diligence meetings
- Prepare regulatory filings in coordination with the Legal and Compliance and Finance teams and ensure they are submitted prior to any applicable deadlines
- Conduct compliance training and testing and assist in the administration of the firm’s cybersecurity program
- Monitor various news outlets and industry publications to ensure the team is aware of any new or ongoing developments related to investment advisory regulations and the asset management industry as a whole
- Manage multiple tasks simultaneously; problem solve and follow through on issues in a timely manner
- Contribute efforts to any other related projects that may arise in the course of business
Qualifications
- Bachelor’s degree and 1 to 4 years of post-collegiate work experience required
- Ability to operate effectively in a team and multi-task required
- Excellent organizational aptitude, time management skills, detail orientation, outstanding work ethic and strong interpersonal skills required
- Proficiency in Microsoft programs such as Word and Excel considered favorably
- A desire to succeed in an entrepreneurial environment
Overview of Prelude Capital
Prelude is a New York City based multi-manager hedge fund adviser with allocations outstanding of more than $2.5 billion. The firm manages capital for institutional investors in a highly diversified portfolio of investment strategies, asset classes and geographies directed by established hedge funds and individual portfolio managers.