Job Description
Job Description
Regulatory Paralegal
We are seeking a Regulatory Paralegal with compliance and legal operations experience to take full ownership of the firm’s compliance program. This role supports our SEC-registered investment adviser and private funds. You will ensure robust compliance processes, audit-ready documentation, and smooth coordination with Finance, Investments, and external partners.
Responsibilities:
- Own and manage the firm’s compliance program, policies, and procedures.
- Serve as the main point of contact for employee compliance obligations and documentation.
- Oversee monitoring and certifications related to sensitive information, trading activity, and restricted lists.
- Manage confidentiality agreements, approvals, execution tracking, and records.
- Administer compliance systems (e.g., ComplySci) and support users and processes.
- Identify opportunities to streamline workflows, improve controls, and strengthen documentation.
- Support regulatory filings, examinations, and compliance reviews.
- Coordinate with external counsel, fund administrators, and consultants on compliance initiatives.
- Prepare governance materials, meeting minutes, consents/resolutions, and maintain corporate records.
- Assist with KYC/AML and entity-related processes with internal and external partners.
Qualifications:
- Experience in investment management compliance, legal operations, fund operations, or advisory/private funds (RIA/private funds preferred).
- Strong understanding of SEC compliance obligations and operational requirements.
- Experience with MNPI controls, audit-ready documentation, and discretion in sensitive processes.
- Excellent organizational and communication skills, managing multiple priorities across teams and third parties.
- Familiarity with compliance technology platforms (e.g., ComplySci) preferred.
Preferred Background:
- Paralegal experience
- Private equity or alternative investment compliance exposure
- Strong Excel skills
Let’s connect on LinkedIn!
linkedin.com/in/boydakelly
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Company DescriptionLibertyjobs.com has become an essential destination site for experienced job seekers. Our recruiters are continually posting active job openings to the website. Feel free to search our database of open positions and apply for your next career move!
Hundreds of new jobs are listed on the site every month in a wide range of industries and locations. Last year we had over 900,000 unique job seekers visit our website, which means over 75,000 skilled job seekers search our openings every month.
Established in 2003, Liberty Personnel quickly grew into one of the largest technical recruiting agencies on the East Coast. Today, Liberty Personnel has a national presence and a diverse client base. Listed below are a number of the industries and openings we work on:
Information Technology, Software Programmers, Engineering, Manufacturing, Legal, Plant Maintenance, Construction, Oil and Gas, Medical Communications, Accounting, Finance, Electronics, Scientific, Medical Device, Sales, Pharmaceutical, Admin, Automation, Controls, Civil, HVAC, Wastewater, Structural, Electrical, Chemists, Validations, Logistics, Food Production, Renewable Energy and Machinists.
Company Description
Libertyjobs.com has become an essential destination site for experienced job seekers. Our recruiters are continually posting active job openings to the website. Feel free to search our database of open positions and apply for your next career move!\n\nHundreds of new jobs are listed on the site every month in a wide range of industries and locations. Last year we had over 900,000 unique job seekers visit our website, which means over 75,000 skilled job seekers search our openings every month.\n\nEstablished in 2003, Liberty Personnel quickly grew into one of the largest technical recruiting agencies on the East Coast. Today, Liberty Personnel has a national presence and a diverse client base. Listed below are a number of the industries and openings we work on:\n\nInformation Technology, Software Programmers, Engineering, Manufacturing, Legal, Plant Maintenance, Construction, Oil and Gas, Medical Communications, Accounting, Finance, Electronics, Scientific, Medical Device, Sales, Pharmaceutical, Admin, Automation, Controls, Civil, HVAC, Wastewater, Structural, Electrical, Chemists, Validations, Logistics, Food Production, Renewable Energy and Machinists.