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MD Transactional Compliance
Ref No.: 17-03564
Location: New York, New York
Position Type:Full Time
Pay Rate : $ 300,000.00 - 500,000.00 /Year
A global asset manager and investment bank is looking for senior level talent for their investments arm. The firm is looking for an MD Transactional Compliance. The MD Transactional Compliance Manage the Investments transactional compliance program, including a review of a broad variety of corporate finance and structured finance investments, including acquisition finance and leveraged loan transactions, direct corporate lending, CLOs and ABS.
  • Direct oversight of the Compliance conflicts function and related client/investor conflicts disclosures as well as restricted list program, cross trades and best execution.
  • Analyzing and opining on potential implications under the Advisers Act and 40 Act of investing in transactions originated and structured by and by third party investment banks or other channels.
  • Act as primary coordinator for transactional compliance reviews with internal and external Legal counsel as well as other Compliance team members with responsibility for Anti-Money-Laundering/Know-your-customer, ERISA and other functions.
  • Review current and prospective client materials relating to proposed or past transactions.

The MD Transactional Compliance will need:
  • Minimum 12+ years of corporate/structured finance transactional experience combined with investment management and/or broker-dealer in-house Legal or Compliance experience, ideally within a fixed income/alternative asset manager.
  • Undergraduate degree required; JD required.
  • Understanding of and familiarity of the application of the Investment Advisers Act of 1940 and the Investment Company Act of 1940 to fixed income and alternative asset transactions and investments.
  • Experience with regulatory issues associated with originating, structuring and investing client funds in private debt and other alternative investments would be valuable.
  • Understanding of and familiarity with the Securities Act of 1933 and the Securities Exchange Act of 1934, and fixed income or alternative investment issuance and/or sales and trading issues, preferred but not required.
  • Strict attention to detail combined with excellent prioritization and organization skills
  • Results-orientation and strong internal client relationship skills; extremely thorough while demonstrating the confidence and communication skills to ensure work processes are completed accurately and appropriately
  • Strong problem solving skills and demonstrated ability to take initiative

Third Party Applications Not Accepted