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JTC Group · 1 day ago

Compliance and Legal Associate

Austin, TX

Full-time

Hybrid

Entry, Mid Level

2+ years exp

JTC Group is seeking a self-motivated, hardworking, and ambitious Compliance & Legal Associate to provide internal support for the Director of Compliance and the General Counsel. The role involves a mix of compliance and legal work, requiring excellent communication skills and the ability to work closely with senior management and external clients.

ConsultingFinanceFinancial ServicesReal Estate

Responsibilities

Assist with completing and tracking regulatory filings required by SEC, NFA/CFTC, and various states (Blue Sky), including Form D, Form ADV, Form PF/PQR

Assist with conducting AML reviews on/for clients and counterparties. Provide responsive information for external AML requests

Assist with conducting reviews, testing, and monitoring of compliance policies and procedures

Assist with Annual Compliance Reviews and Mock Audits

Support various regulatory engagement and reporting

Assemble compliance reports for the Chief Compliance Officer to review

Assist with the design and roll-out of compliance strategic initiatives

Collaborate with SALI’s Innovation team to create efficiencies and automation around compliance processes and reporting

Research current and proposed rules/regulations which may affect SALI’s business

Assist with new partnership, fund, and LLC formation, including drafting of investor communications and coordination with internal and external stakeholders

Collaborate with Client Relations and Fund Development Departments to ensure all legal, compliance, and contractual matters are addressed efficiently

Ensure timely preparation, submission, and tracking of annual reports, amendments, withdrawals, and other required filings to federal, state, and local agencies via SALI’s registered agent

Maintain client template forms and protocols for client-specific projects

Maintain master data files and responsibility for accuracy in document assembly software

Assist with ongoing offering document updates and communication to clients on those updates

Assist with corporate secretarial tasks

Manage non-disclosure agreement negotiation process

Qualification

Compliance experienceLegal experienceRegulatory filingsNotary Public certificationMicrosoft Office SuiteDocument assembly softwareAttitudeProject ownershipCommunication skillsFlexibility