Location: NYC (Hybrid) Compensation: $125k-$175k base + bonus ($40k-$75k)
Overview: The Funds and Trading Specialist will work closely with other members of the Legal and Compliance Department and other departments throughout the firm on a wide spectrum of legal and compliance issues and initiatives, focusing on matters related to funds and trading relationships. The Legal and Compliance Department is led by the firm’s General Counsel and comprises four teams: Compliance, Private Investments, Tax Planning, and Funds and Trading. The Funds and Trading team, which the individual will join, is responsible for legal, regulatory, and compliance matters related to the organization, operation, and structure of the firms funds, as well as the documentation, filings, and regulatory requirements applicable to funds’ trading and financing activities. The individual will support the two Funds and Trading attorneys with various aspects of their work and take on other tasks under their supervision, such as global position filings, legal entity formation, document management, and responding to inbound KYC/AML requests. The Funds and Trading Specialist will also work on special projects, such as evaluating and onboarding new technologies, improving systems and processes, and responding to changes in law and regulation. The individual will interact directly with the firm’s IR, Trading, Treasury, and Trading Operations personnel, as well as external stakeholders such as brokers, vendors, and outside counsel. The role requires vigilance, attention to detail, and the ability to respond to ad-hoc requests on tight timeframes.
Specific responsibilities may include, but are not limited to: • Responsible for daily, weekly, quarterly, and annual position filings globally (e.g., Schedules 13G/D and Section 16 filings, UK/EU short positions, MiFID II transaction reporting, Form PF, TIC/BEA filings, etc.). • Serve as the primary point of contact for vendor contract requests and trading document negotiations, and related document management. • Provide trading compliance support, including tracking shares outstanding or the number of shares that can be bought/sold before a filing threshold is reached. • Manage inbound KYC and AML requests and other information requests, including in non-US jurisdictions where the firm or its affiliates have trading licenses (e.g., China, India, etc.). • Responsible for making initial lobbyist registrations in relevant jurisdictions and for ongoing filings in relevant jurisdictions. • Create all new legal entities and draft initial governing documents. Support the Private Investments team with KYC and related requests and assist with various ad hoc tasks related to the firm’s private equity and structured capital investment strategies.
QUALIFICATIONS The ideal candidate will have: • An undergraduate degree with a record of academic success. • 4+ years of experience in a similar role with an asset manager, investment bank, or other financial services firm. • Strong attention to detail and project management skills. • Excellent organization and communication skills. • Proficiency with Bloomberg and Microsoft Office suite (Outlook, Excel, Word, and PowerPoint). The ideal candidate possesses the following traits: • Strong interpersonal skills: working with others across the firm and external constituents calls for an individual who enjoys developing professional relationships. • Team-orientation: a willingness to work collaboratively with other team members and pitch in on ad-hoc tasks and requests to ensure all needs are met. • Efficient communicator: clear, direct communication is valued in a robust and busy work environment. • Proactivity: an ability to recognize, anticipate and address needs with a strong sense of urgency. • Sound judgment: Operate discreetly with sensitive or confidential information. • Accountability: ownership of individual responsibilities and work product. • Process-orientation: a strong attention to detail and an eagerness to continually improve.
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