Legal and Compliance Associate
About The Position
We are currently seeking a Legal and Compliance Associate who will play an integral role in Cercano’s Legal and Compliance Department, supporting the Senior Paralegal, Associate General Counsel, and Chief Compliance Officer. The ideal candidate is highly organized, detail oriented, and able to manage legal and compliance matters with sound judgment, professionalism, and discretion. The role requires strong written and oral communication skills, the ability to work collaboratively with internal and external stakeholders, and the capacity to think critically, manage competing priorities, and present information clearly and confidently. We are seeking a candidate with relevant experience in legal operations, corporate governance, investment management, private fund matters, transactional support, and regulatory compliance. Experience with SEC-registered investment advisers, private funds, securities law compliance, or financial services is strongly preferred.
Requirements
- Relevant experience in a legal, compliance, corporate governance, investment management, private fund, financial services, or law firm environment.
- Experience reviewing, drafting, organizing, and tracking agreements, legal documents, diligence materials, regulatory filings, or compliance records.
- Excellent organizational, writing, and interpersonal skills. Must be highly organized and detail oriented and able to work both collaboratively and independently.
- Professional demeanor, resourceful and able to handle multiple and changing priorities.
- Strong work ethic, sound judgment, and commitment to accuracy, confidentiality, and professionalism.
- Ability to work well in a fast-paced environment with a demonstrated sense of urgency, responsiveness, and commitment.
- Proficiency in SharePoint and Microsoft Office software (e.g. Word, Excel, OneNote, Teams, PowerPoint, and Outlook)
Nice To Haves
- Experience with SEC-registered investment advisers, private funds, securities law compliance, or financial services is strongly preferred.
- Proficiency in contract lifecycle management tools and e-signature platforms is helpful.
- Proficiency in compliance software systems is also helpful.
- Paralegal certificate, compliance certification, or other relevant professional credential beneficial but not required.
- Familiarity with investment management, private funds, corporate transactions, securities law compliance, or regulatory filings preferred.
Responsibilities
- Assist with the development, maintenance, and organization of legal and compliance records, document management systems, and knowledge management resources.
- Support the review, coordination, and tracking of legal agreements, including confidentiality agreements, vendor contracts, subscription documents, operating agreements, side letters, and other fund or investment-related documentation.
- Maintain databases and trackers for legal documents, regulatory filings, compliance certifications, employee activities, corporate governance matters, and other recurring legal and compliance processes.
- Assist with corporate governance and transactional matters, including entity formation and maintenance, annual reporting, subscription materials, transfer documentation, closing binders, and internal approval processes.
- Prepare, organize, and maintain structure charts, AML/KYC materials, investor or counterparty diligence materials, and responses to related requests.
- Assist with regulatory and securities filings, including EDGAR filings, ADV, individual registrations and other legal or compliance filings, as applicable.
- Coordinate with attorneys, investment professionals, operations, finance, accounting, external counterparties, service providers, and consultants regarding project status, deadlines, documentation, and follow-up items.
- Support compliance program administration, including employee certifications, personal trading processes, marketing review tracking, training records, annual review materials, vendor due diligence, and other compliance monitoring activities.
- Liaise with finance and accounting to facilitate payment and tracking of legal and compliance invoices.
- Schedule and coordinate internal and external meetings, conference calls, and follow-up items for legal and compliance matters.
- Perform ad hoc legal, compliance, and administrative projects as needed.
- Maintain a high level of confidentiality, professionalism, and discretion in all interactions.
Benefits
- medical, dental and vision insurance
- Health Savings Account with generous annual employer contribution
- Flexible Spending Accounts for health and dependent care
- vacation and sick time off
- paid holidays
- paid parental leave
- 401(k) plan with a generous employer match of 50% of your own contributions up to the standard annual IRS limit
- company paid life insurance
- Health and Wellness Benefit
- reimbursement for approved professional development activities
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
