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Paralegal/Compliance

Company: Titan Advisors, LLC
Location: Stamford
Posted on: June 25, 2022

Job Description:

Short DescriptionCorporate Paralegal with 4-7 years' experienceLong DescriptionAlternative Investment Advisor located in Stamford CT managing $4.8B in assets is looking for a corporate paralegal to join our team and report to the General Counsel/Chief Compliance Officer. This firm has been in business since 2001 and has 36 employees. Responsibilities include:

  • Assist the General Counsel across the board with all of our investment vehicles and products
  • Entity formation, management (including preparing resolutions, meeting minutes and regulatory filings) and dissolution
  • Assist in review and implementation of compliance policies and procedures.
  • Review of marketing materials for compliance with SEC marketing rules and compliance policies.
  • Responsible for completing various account set up documents
  • Bank accounts, prime broker accounts, etc.
  • Preparation and completion of subscription documents for fund investments
  • Assist with timely SEC and NFA filings such as Form ADV, Form PF, Form D, Form PQROther projects as necessary depending on the person's skill set.Requirements:Bachelors degree,4-7 years of experience at a law firm or financial services companyKnowledge of the Investment Advisor Act 1940 is a plusKnowledge of SEC, NFA, CFTC requirements is a plusProficiency in MS Office Word, Excel, and PowerPointSalary:Dependent on Experience

Keywords: Titan Advisors, LLC, Stamford , Paralegal/Compliance, Legal , Stamford, Connecticut

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