Compliance and Legal Associate

Prospect Capital•New York, NY

1d•Onsite

About The Position

We are seeking a motivated and detail-oriented Compliance and Legal Associate to join our legal and compliance team. This role is an excellent opportunity for a compliance professional seeking broader exposure to a dynamic investment management environment or a corporate paralegal looking to expand into regulatory compliance. The ideal candidate is intellectually curious, highly organized, team-oriented and eager to grow.

Requirements

Bachelor’s degree from a leading college or university.
5 or more years of experience in a corporate legal department, law firm, or compliance role, preferably within investment management or financial services.
Experience or working knowledge of securities filings, corporate governance, entity management, and due diligence.
Ownership mentality and strong organizational skills.
Excellent analytical and communication skills.
Ability to produce high-quality work in a deadline-driven environment.

Nice To Haves

Exposure to or working knowledge of investment adviser, investment company or industry related compliance (e.g., Investment Advisers Act, Investment Company Act, Securities Exchange Act, and FINRA rules) is a plus.

Responsibilities

Provide support for required filings under securities laws, including Form 10-Ks, Form 10-Qs, 8-Ks, registration statements, prospectuses and proxy statements.
Assist with NASDAQ and NYSE compliance activities, including reporting organizational changes and filings of annual and interim reports.
Assist with preparation of materials for meetings of the Board of Directors and its committees, including drafting resolutions.
Handle corporate governance matters, including research and maintenance of records relating to the Board of Directors.
Draft, review, and file corporate and transactional documents.
Support special corporate governance and capital markets projects as the need arises and other tasks, strategic projects, or duties as needed.
Assist with the firm’s regulatory compliance program, including maintaining, updating and supervising the firm’s compliance policies and procedures and conducting employee training and annual reviews.
Help manage Comply, the firm’s software for administering employee Code of Ethics obligation, including personal trading and gifts & entertainment.
Support regulatory filings, including Form ADVs and related regulatory reports.
Support the firm’s marketing compliance program, including review of marketing materials.
Assist with preparation for regulatory examinations and help coordinate responses to regulatory inquiries.
Support special compliance projects as the need arises and other tasks, strategic projects, or duties as needed.