Legal and Compliance Specialist

The person in this role will handle many of the day to day compliance and operational responsibilities for the firm supporting the Chief Compliance Officer.


  • Manage individual and firm registration requirements including licensing

  • Assist in the management and implementation of the firm’s compliance and regulatory policies, procedures, and code of ethics and ensure compliance with applicable laws and regulations

  • Respond to client inquiries on compliance issues

  • Develop and provide training on compliance related topics on an as-needed basis

  • Assist CCO with all audits, including providing responses and developing corrective action plans

  • Client Onboarding related to:

  • System Entity/Users setup & distribution lists

  • Portfolio onboarding

  • DTCC onboarding

Required Skills

  • Experience with interest rate derivatives

  • Familiarity with Dodd-Frank regulation

  • Experience in developing and delivering presentations or training

  • Outstanding communication skills, both oral and written

Preferred Qualifications

  • Experience with ISDA negotiation

  • Experience with commercial loan documentation

  • Experience with governmental and regulatory agencies, with proven experience in responding to audits and surveys by those agencies

  • Experience with derivative product systems and processing

  • Familiarity with FX and commodity derivatives

  • Familiarity with US Treasury Anti-Money Laundering regulations

  • Experience in writing policies and procedures


  • Bachelor’s degree in business or related areas

  • JD preferred

We're looking forward to hearing from you!