Investment Compliance Specialist

Kilpatrick Townsend & Stockton LLP•Winston-Salem, NC

1d•$31•Hybrid

About The Position

Kilpatrick, a large international law firm, is seeking an Investment Compliance Specialist for our Investment Management team. This position will be part of our team of attorneys, paralegals and support staff providing a high level of service to both internal and external clients. At Kilpatrick we are one team where each person plays an integral role in serving the needs of our clients. The firm has a strong dedication to its employees, values, and commitment to the community. This position will provide comprehensive compliance and paralegal support for our registered investment adviser (RIA), private investment funds, and registered investment company (RIC) clients.

Requirements

Bachelor’s degree in finance, economics, or related field.
Excellent organizational and document management skills.
Strong research, analytical, and communication abilities.
Proficiency with Microsoft Office, document management systems, and compliance software.
Compliance experience within a law firm, an in-house legal department, or a regulatory (SEC, FINRA, state securities division, etc.) department within the finance (e.g., RIA, RIC, private fund, banking, etc.) industries.
Experience in subject matter areas of support, including compliance requirements, business law, and employment law.
Experience in maintaining calendars and coordinating meetings.

Nice To Haves

Familiarity and experience with RIA, private investment fund, and RIC compliance requirements, preferred.
Knowledge and experience with RIA/fund manager compliance programs systems, preferred.

Responsibilities

Maintain compliance calendars and assist in the implementation and maintenance of compliance programs and policies for registered investment advisers (RIAs), private investment companies, and registered investment companies (RICs) clients.
Conduct periodic compliance testing and internal reviews as directed by compliance officers or attorneys.
Assist in preparing, reviewing, and filing periodic regulatory compliance documents with the SEC and states (e.g., Form ADV, Form PF, Form 13F, Blue Sky filings, etc.).
Organize and keep corporate records, compliance documentation, and fund agreements.
Participate in mock SEC/State-level examinations of compliance policies, programs, and responsibilities.
Support alternative asset fund reviews and assist in facilitating documentation for private fund investments.
Other duties as assigned.