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As an Associate Director of Legal Operations, you will support the Chief Compliance Officer in connection with the firm's legal, compliance and regulatory operations. We are looking for an intellectually curious, organized individual that is comfortable working in a fast-paced environment and excited to be part of a growing business. Specifically, you will:
Oversee the full contract management process from initiation to completion and organization, in conjunction with internal and external stakeholders
Ongoing maintenance and improvement of legal research and document management tools
Manage compliance with contractual terms with guidance from the CCO across all legal and regulatory matters
Assist with the review/revision of various legal agreements, including non-Disclosure Agreements, Custodian Agreements, and other Vendor agreements
Manage client and vendor due diligence process and requests
Conduct legal research and analysis on corporate/regulatory legal issues
Help review and ensure the company's compliance with applicable regulations
Monitor the firm's Compliance Calendar to ensure timely compliance with regulatory obligations
Support in the oversight and enforcement of the firm's Code of Ethics
Maintain the firm's electronic compliance management system (ACA Compliance Alpha); track ongoing compliance requirements and completions for employees
Involvement in annual compliance audits and quarterly/annual review processes
Assist with the preparation and submission of regulatory filings (ADV, 13F, 13H)
Assist with drafting policies and procedures
Assist in the creation and tracking of employee compliance training
Support/lead ad hoc projects as needed
Who you are:
You're passionate about positively impacting the future of our planet and humanity
You're independent and comfortable working at a small, fast-paced startup
You're kind, curious, and interested in other people's perspectives
You're inventive and excited about building something new
You're open-minded and value diversity
What You'll Bring to the Table:
5+ years of relevant legal and compliance experience in the wealth management industry; Bachelor's degree is required; JD is not required
Broad knowledge of financial products, markets, and SEC regulations
Strong contract management and project management skills
Experience identifying, recommending and implementing process improvements
Proficiency in legal research and document management tools
Experience with ACA Compliance Alpha is a plus
Excellent written and oral communication skills as you will be exposed to all levels of management; self-motivated and willing to work in a team environment
Keen sense of urgency with the ability to execute quickly and proficiently with strong attention to detail
Deadline-oriented with experience overseeing multiple projects and prioritizing accordingly
Expert at problem solving with the ability to work proactively with little direct supervision
Experience working in a startup environment is a plus
About Ethic:
Ethic is working toward a future where all investing is sustainable investing. We empower wealth advisors and investors to create portfolios that seek to align personal values with financial goals.
Our team is committed to fostering an environment that brings together many different voices, perspectives and lived experiences to accelerate the global transition to sustainable investing.
Compensation & Benefits:
Compensation at Ethic is a combination of base salary, equity (stock options) in the company, and benefits.
The base salary for this role will range from $140,000 - $160,000 per year, commensurate with experience.
401k plan with sustainable investment options and a 3.5% employer match
Unlimited paid time off
16-weeks of paid parental leave
An annual wellness & education stipend
Sponsored employee resource groups
Regular lunch & learns and volunteering opportunities
A fully-stocked office in lower Manhattan + the flexibility to regularly work remotely
Location: New York, NY (in-office at least 2 days a week)
Submit an application:
If you are interested in applying for this role, please submit both a resume and a cover letter below.
Ethic values the diversity of our team and welcomes applications from all backgrounds and life experiences. In order to continuously grow a diverse team, we are taking a data-driven approach to understanding and iterating our hiring practices. Please complete the demographic survey below to support us in doing so.
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Legal
Industries
Technology, Information and Internet
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