Regulatory Paralegal

Job Details:

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

To apply, send your resume to [email protected]

Let’s connect on LinkedIn!
linkedin.com/in/boydakelly

Boyd Kelly

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