Junior Compliance Officer

Alger•New York, NY

2d•$80,000 - $100,000

About The Position

Alger seeks a highly motivated, experienced, and collaborative Junior Compliance Officer to support the SVP, General Counsel, Assistant and Associate Counsels, and Compliance Officers. The role supports the drafting, editing, revising, and reviewing of regulatory documents, policies and procedures, contracts, marketing materials, and board materials. Its purpose is to help facilitate Alger’s business in compliance with applicable laws, regulations, and firm policies.

Requirements

Bachelor’s degree in Finance, Business Administration, Legal Studies, or a related field, or an equivalent combination of education and experience.
Cumulative GPA of 3.0 or above on a 4.0 scale.
2–4 years of prior experience.
Exceptional attention to detail.
Ability to manage multiple priorities at a given time.
Strong oral and written communication skills and strong follow-up.
Ability to work independently and as part of a team, under pressure, and to demonstrate resourcefulness in problem solving.
Strong writing skills.
Strong organizational skills.
Proficiency in Word, Excel, and EDGAR (the SEC electronic filing system).
Knowledge of the mutual fund and ETF industry and applicable securities laws, including the Investment Company Act and Investment Advisers Act.

Nice To Haves

Prior experience working with mutual funds or ETFs is preferred.
Experience with annual report reviews is a plus.

Responsibilities

Assist in preparing and executing contracts and agreements for U.S. and non-U.S. registered funds and corporate entities.
Aid in preparing registration statements, supplements, and related filings through a prospectus content management system.
Compile, organize, and review agendas and materials for Board of Trustees meetings; draft meeting minutes; and liaise with the Board of Trustees on advisory and distribution matters.
Review disclosure documents, including shareholder reports.
Assist legal and compliance teams with SEC and FINRA requirements.
Organize and maintain fund-related electronic filings.
Prepare and file Section 13 filings.
Monitor and review new and proposed regulations affecting investment advisers and funds.
Perform legal research using the internet and other resources.
Under supervision, help develop, draft, and execute policies and procedures designed to detect and prevent violations of federal securities laws and mitigate compliance, operational, and other risks.
Review and file marketing materials, including RFPs and due diligence questionnaires.
Perform additional projects and duties as assigned.