Investment Compliance Specialist

Kilpatrick, a large international law firm, is seeking an Investment Compliance Specialist for our Investment Management team. This position will be part of our team of attorneys, paralegals and support staff providing a high level of service to both internal and external clients. At Kilpatrick we are one team where each person plays an integral role in serving the needs of our clients. The firm has a strong dedication to its employees, values, and commitment to the community.

This position will provide comprehensive compliance and paralegal support for our registered investment adviser (RIA), private investment funds, and registered investment company (RIC) clients.

ESSENTIAL JOB FUNCTIONS:

• Maintain compliance calendars and assist in the implementation and maintenance of compliance programs and policies for registered investment advisers (RIAs), private investment companies, and registered investment companies (RICs) clients.
• Conduct periodic compliance testing and internal reviews as directed by compliance officers or attorneys.
• Assist in preparing, reviewing, and filing periodic regulatory compliance documents with the SEC and states (e.g., Form ADV, Form PF, Form 13F, Blue Sky filings, etc.).
• Organize and keep corporate records, compliance documentation, and fund agreements.
• Participate in mock SEC/State-level examinations of compliance policies, programs, and responsibilities.
• Support alternative asset fund reviews and assist in facilitating documentation for private fund investments.
• Other duties as assigned.

KNOWLEDGE/SKILLS REQUIRED:

• Bachelor’s degree in finance, economics, or related field.
• Excellent organizational and document management skills.
• Strong research, analytical, and communication abilities.
• Familiarity and experience with RIA, private investment fund, and RIC compliance requirements, preferred.
• Knowledge and experience with RIA/fund manager compliance programs systems, preferred.
• Proficiency with Microsoft Office, document management systems, and compliance software.
• Compliance experience within a law firm, an in-house legal department, or a regulatory (SEC, FINRA, state securities division, etc.) department within the finance (e.g., RIA, RIC, private fund, banking, etc.) industries.
• Experience in subject matter areas of support, including compliance requirements, business law, and employment law.
• Experience in maintaining calendars and coordinating meetings.

This is a full-time, regular position with a multi-faceted health benefit package including medical, dental, and vision. The firm also offers life insurance, short term disability plans and retirement plans in addition to holidays and paid time off. The firm offers hybrid work schedules combining in office work days as well as remote work days. The pay for this position in Winston-Salem only is $30.76 hourly.

Selected applicants will be contacted. Kilpatrick is an Equal Opportunity Employer.

For more information about our firm, please visit our website at www.ktslaw.com.

Kilpatrick Townsend & Stockton LLP is committed to equal employment opportunity for all persons, regardless of race, color, religion, sex or gender, national origin, age, veteran status, disability, sexual orientation, gender identity, or any other basis prohibited by applicable law.

Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities