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Subject: Paralegal in Legal & Compliance, Greenwich, CT

Alice Morgan posted a job: Paralegal in Legal & Compliance, Greenwich, CT

"Our client a private investment firm focused on credit and special situations investing seeks a Paralegal. This is a terrific opportunity for a Paralegal/ Legal Assistant to join the Compliance and Legal department of a top tier Hedge Fund and alternative investment firm. The Legal & Compliance Department oversees the legal and compliance affairs of the firm, an SEC registered investment adviser, and the funds it manages. This is a key role for the Department ensuring many compliance processes and projects are completed. This is the ideal position for anyone looking to leverage their experience in the growing field of Compliance. Requirements: * Have or be able to easily develop: - Broad understanding of current fund investment interests and Legal/Compliance regulatory requirements and developments. - Basic knowledge of the financial industry, including an understanding of various investment products (e.g. types of securities and types of transactions) Specific Responsibilities: * Manage and review employee adherence to Firm’s Code of Ethics, including review of employee personal account trading, political contributions and gifts and entertainment. * Monitor use of expert consulting network, including calls between analysts and consultants. * Review employee account statements to confirm that no violations of personal trading policy occurred. * Analyze appropriateness of research expenses. * Conduct periodic back-testing reviews of compliance functions. * Daily review of email surveillance to identify possible violations of firm policies. Skills and Requirements: * Undergraduate BA/BS degree a must. * Financial background preferred. * Compliance experience a plus. * Strong organizational, multi-tasking skills in a fast paced environment. * Strong work ethic. * Quick learner. * Computer/database skills. * Analytical. * Team player. To apply please submit your resume to info@compliancesearch.com"

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