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Senior Associate – Compliance – Regulatory Paralegal
| Company | Adams Street Partners |
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| Location | Chicago, IL, USA |
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| Salary | $105000 – $170000 |
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| Type | Full-Time |
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| Degrees | Bachelor’s |
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| Experience Level | Senior |
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Requirements
- Undergraduate degree, ideally with a business administration or law focus.
- At least 5 years of experience with 2-3 years focused on regulatory compliance.
- Experience within Private Equity and/or Asset Management is strongly preferred.
- Must demonstrate exceptional attention to detail and be highly organized and able to prioritize and meet deadlines.
- Knowledge of and experience using document management systems, Zoom, MS Word, Powerpoint, Outlook and Excel required.
- Interest in staying abreast of industry trends, product knowledge and developments in marketing and investor relations.
- Ability to work independently and on a team.
- Strong problem-solving and creative-thinking skills.
- Critical reasoning, including the ability to flag deviations from policy and elevate issues to appropriate internal parties.
Responsibilities
- Assisting with the firm’s regulatory filings, including maintaining and updating a global regulatory filings calendar, coordinating with members of the Finance, Client Operations and Legal teams, gathering and preparing data, and reviewing and submitting filings.
- Supporting the firm’s global regulatory compliance program, including maintaining and updating compliance policies and procedures, updating training materials and records, and preparing and maintaining documentation related to ongoing monitoring efforts.
- Interacting with the firm’s lawyers, investment professionals, accountants and other professionals.
- Performing periodic compliance checks and maintaining and improving internal records, checklists, spreadsheets, and other tracking devices.
- Supporting audits and regulatory examinations, including maintaining spreadsheets, compiling and organizing requested documentation and reviewing such documentation for sufficiency.
- Identifying opportunities to improve efficiency in the filings processes, including automation and workflow enhancements.
- Participating in and assisting in the management of due diligence projects.
- Performing other ad hoc projects as assigned.
Preferred Qualifications
- Experience within Private Equity and/or Asset Management is strongly preferred.
