Associate Director, Legal Operations

Job Description

• 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

Qualifications

• 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

Benefits

• Medical, dental & vision insurance – premiums 100% covered by Ethic • 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