Major, Lindsey & Africa has an immediate need for a Legal and Compliance Vice President at an American Multinational Private Equity, Alternative Asset Management and Financial Services Based Firm.
Attorney, Vice President – Legal and Compliance
Overview: The Legal & Compliance department seeks a mid-level attorney to support the legal and regulatory needs of the rapidly growing Insurance Solutions and Private Wealth Solutions) businesses in coordination with all of the firm’s business line legal teams
Company: Multinational Private Equity, Alternative Asset Management and Financial Services Based Firm
Experience: 5-10 years of Top-Tier Elite Law Firm Experience with a background in Investment Funds. In-House Experience is not required, but will be considered.
Location: New York, New York.
- Supporting a broad range of investments, including public and private credit, structured products and private fund investments.
- Assisting in compliance and regulatory matters: SEC and CFTC registrations, ERISA, and federal, state and international securities laws (including the Investment Advisors Act of 1940, the Securities Act of 1933 and the Exchange Act of 1934).
- Preparing regular reports to the portfolio managers and senior management regarding legal and compliance matters.
- Coordinating various SEC, CFTC and foreign regulatory filings, including Section 13 filings .
- Working with PWS and business line legal teams around the on-boarding and diligence related to new and existing distribution partners, both in the US and abroad.
- Working with in-house and external counsel to monitor, and then implement responses to, regulatory developments that impact the businesses
- Working with Blackstone legal and compliance regarding firm wide legal and compliance issues and projects; and special compliance/internal audit – related projects as necessary
- J.D. from a top-tier law school and admittance to a state bar.
- At least 5 – 6 years (if coming from a firm) or 8-10 years (if coming from in-house) directly related experience as an attorney in a law firm investment funds or credit group or with a credit oriented asset manager.
- A substantial knowledge of relevant rules and regulations and the day-to-day affairs of private funds (registered fund experience a plus).
- An understanding of credit instruments and products (e.g., public debt securities, loan syndications, CLOs) is a strong plus
- Knowledge of insurance regulatory issues is not required, but a strong plusAbility to prioritize and handle multiple projects.
- Ability to work both independently and collaboratively in a demanding, fast-paced and fluid environment, while maintaining superior attention to detail.
Major, Lindsey & Africa does not discriminate against applications on the basis of age, sex, race or any other protected characteristics pursuant to applicable state or federal laws