Consello is seeking to hire a full-time Corporate Paralegal / Compliance Manager to join its Legal & Compliance team with a dual focus on supporting the firm's (1) transactional work and corporate governance and (2) compliance with respect to its (A) private equity operations as a registered investment adviser and (B) registered broker-dealer and broader corporate advisory operations. This role will be responsible for supporting the General Counsel / Chief Compliance Officer and will also work closely with the Chief Financial Officer and external compliance consultants. The position offers diversified experience across all functional areas of a corporate advisory / investment advisory / broker-dealer platform both in the US and internationally and interaction with a broad range of internal and external stakeholders. Experience with a registered broker-dealer and knowledge of FINRA regulations is not required but is highly desirable.
Key Responsibilities
Transactional Work and Corporate Governance
- Draft, review, proofread, and manage a broad range of corporate contracts and commercial agreements, including NDAs, vendor contracts, master service agreements and statements of work, client engagements, and related amendments.
- Support contract lifecycle management by maintaining contract templates, organizing executed contracts, and tracking important deadlines (renewals, expirations).
- Prepare and maintain corporate governance documents, including resolutions and consents, for both US and international entities.
- Oversee and track corporate registrations and licensing activities across multiple jurisdictions, including renewal of business licenses and submission of regulatory filings.
- Respond to client due diligence requests and onboarding requirements.
- Maintain and update records for insurance policies, endorsements, and certificates of insurance.
Compliance Program Oversight
- Assist in the execution and continuous improvement of the firm's compliance program to ensure adherence to SEC rules (including the Advisers Act) and other applicable regulations.
- Monitor and update compliance policies and procedures in response to regulatory changes and business developments.
- Facilitate annual and periodic reviews of compliance policies and procedures as required under the Advisers Act.
- Maintenance of a compliance calendar for all regulatory and filing deadlines.
Regulatory Filings & Examinations
- Prepare and file required regulatory documents (e.g., Form ADV, Form PF).
- Support the firm in regulatory examinations, audits, and inquiries from the SEC, FINRA, or other regulatory bodies.
Training & Guidance
- Develop and deliver compliance training for staff, focusing on SEC and FINRA requirements, ethical standards, and internal policies.
- Serve as a resource for compliance-related questions from internal teams and external consultants.
Monitoring & Surveillance
- Oversee surveillance systems and controls to detect and mitigate compliance risks, including monitoring of employee trading, electronic communications, and restricted lists.
- Support the management of the firm's Code of Ethics and personal trading policies.
- Monitoring of marketing/advertising materials to ensure adherence to the SEC's Marketing Rule.
Liaison & Collaboration
- Act as a primary point of contact for external compliance consultants, coordinating projects and ensuring effective communication.
- Collaborate with business partners (e.g., HR, IT, external service providers) to resolve compliance issues and implement solutions.
Broker-Dealer & FINRA Compliance (Preferred)
- Apply knowledge of broker-dealer operations and FINRA regulations to ensure comprehensive compliance across the firm's activities.
- Supervision of Form U4/U5 updates, license renewals, and registration requirements.
Data Security & Privacy
- Assist in ensuring compliance with data protection and cybersecurity policies.
Qualifications
- Bachelor's degree required
- 6+ years of a combination of corporate paralegal experience (law firm or in-house) plus compliance experience at a registered investment adviser
- Strong knowledge of contract drafting and review processes and familiarity with corporate law fundamentals
- Strong working knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, and relevant SEC regulations
- Proficient in drafting, implementing, and monitoring compliance policies.
- Experience with SEC examinations strongly preferred.
- Familiarity with broker-dealer compliance and FINRA rules is highly desirable.
Additional Skills
- Proficiency with compliance technology tools (e.g., ComplySci) and Microsoft Office suite
- Strong attention to detail and problem-solving abilities
- Strong written and oral communication skills
- Proactive communicator with the confidence to raise potential issues, questions, or concerns with management
- Excellent organizational, prioritization, and time management skills
- Ability to exercise discretion and sound judgment on sensitive compliance matters
Compensation
- Base salary starting at $150,000 + bonus
#J-18808-Ljbffr