Compliance Paralegal
Artivest is seeking a talented and motivated Compliance Paralegal to be part of our Compliance Team. The successful candidate will assist with Fund launches on our platform, complete regulatory filings, track corporate governance and assist with the review of legal documents such as non-disclosure agreements, simple contracts and prospectuses. You will be an integral part of the compliance team, ensuring the ongoing compliance with all of the regulatory requirements under SEC, NFA and FINRA guidelines. The core competencies for this role include a proven track record of managing strict filing deadlines, maintenance for firm books and records, as well as leading new compliance initiatives and legal expertise.
Artivest provides a technology-driven investment platform for fund managers, wealth managers, independent advisors, and qualified individual investors. Our technological, financial, and operational expertise powers a seamless experience for investors and a scalable point of access for our enterprise clients. The asset management division of Artivest, formerly known as Altegris, is an investment research provider with deep expertise in alternative manager selection, structuring unique solutions, and providing portfolio management and oversight. Our broker-dealer affiliate distributes our products to wirehouses, independent broker-dealers, registered investment advisors, and directly to high-net-worth individuals and family offices. Currently our advisory affiliate manages over $2.4 billion in assets.
Responsibilities
- Assist on fund launches with project team to ensure proper legal formation of entity, including obtaining Tax ID, CUSIP, and CA state registration; ensure all required legal documents are on file
- Ensure offering documents are updated periodically and available for new investors
- Coordinate with legal counsel for corporate filings (i.e: 8K, 10K, 10Q, etc)
- Coordinate Edgar filings for all Artivest entities (i.e. Form D, Section 13, etc)
- Coordinate and maintain tracking of selling and distribution agreements with third parties, as needed
- Monitor and coordinate Blue Sky Filings
- Review, complete and coordinate checklists and requests for documents from managers, broker, investors, and/or regulators
- Assist with quarterly and annual Fund reporting as needed (Form PF, CPO-PQR, ADV, etc)
- Review legal documents such as NDAs and vendor contracts
- Assist with legal review of legal documents and disclosures for new investments within the Funds as needed
- Maintain books and records as required by regulatory agencies
Requirements
- Bachelor’s degree
- Minimum of 2+ years of compliance experience within the financial industry (preferably with a regulator, asset-management or broker-dealer firms)
- Current Series 3, 7, 66 and/or 24 licenses or ability to be obtained soon after hire
- Law degree or experience as a paralegal
- Ability to work independently and in a team
- Strong interpersonal and communication skills to facilitate effective communication and collaboration across all organizational levels
- Ability to thrive in a demanding and fluid environment with frequent changes in workflow and project priorities
- Strong analytical and project-management skills with the ability to identify issues and propose solutions
- Proficiency in MS Office and Adobe Applications (including Word, Excel, and Acrobat Professional)
- Paralegal experience or desire to learn about legal document drafting
This is a full-time position. Artivest offers a competitive salary and benefits, including: paid time-off, holiday pay, health insurance, dental insurance, 401K and company match. We pride ourselves on our people and their commitment to our clients and culture. Transforming the alternative investment industry takes an environment where everyone can do their best work while growing personally and professionally. We can always do and learn more and we would love your help.