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Associate Director, Legal Operations



Legal, Operations
New York, NY, USA
Posted on Wednesday, May 1, 2024

What You’ll Do:

As an Associate Director of Legal Operations, you will support the Chief Compliance Officer in connection with the firm’s legal, compliance and regulatory operations. We are looking for an intellectually curious, organized individual that is comfortable working in a fast-paced environment and excited to be part of a growing business. Specifically, you will:

  • Oversee the full contract management process from initiation to completion and organization, in conjunction with internal and external stakeholders
  • Ongoing maintenance and improvement of legal research and document management tools
  • Manage compliance with contractual terms with guidance from the CCO across all legal and regulatory matters
  • Assist with the review/revision of various legal agreements, including non-Disclosure Agreements, Custodian Agreements, and other Vendor agreements
  • Manage client and vendor due diligence process and requests
  • Conduct legal research and analysis on corporate/regulatory legal issues
  • Help review and ensure the company’s compliance with applicable regulations
  • Monitor the firm’s Compliance Calendar to ensure timely compliance with regulatory obligations
  • Support in the oversight and enforcement of the firm’s Code of Ethics
  • Maintain the firm’s electronic compliance management system (ACA Compliance Alpha); track ongoing compliance requirements and completions for employees
  • Involvement in annual compliance audits and quarterly/annual review processes
  • Assist with the preparation and submission of regulatory filings (ADV, 13F, 13H)
  • Assist with drafting policies and procedures
  • Assist in the creation and tracking of employee compliance training
  • Support/lead ad hoc projects as needed

Who you are:

  • You’re passionate about positively impacting the future of our planet and humanity
  • You’re independent and comfortable working at a small, fast-paced startup
  • You’re kind, curious, and interested in other people’s perspectives
  • You’re inventive and excited about building something new
  • You’re open-minded and value diversity

What You’ll Bring to the Table:

  • 5+ years of relevant legal and compliance experience in the wealth management industry; Bachelor’s degree is required; JD is not required
  • Broad knowledge of financial products, markets, and SEC regulations
  • Strong contract management and project management skills
  • Experience identifying, recommending and implementing process improvements
  • Proficiency in legal research and document management tools
  • Experience with ACA Compliance Alpha is a plus
  • Excellent written and oral communication skills as you will be exposed to all levels of management; self-motivated and willing to work in a team environment
  • Keen sense of urgency with the ability to execute quickly and proficiently with strong attention to detail
  • Deadline-oriented with experience overseeing multiple projects and prioritizing accordingly
  • Expert at problem solving with the ability to work proactively with little direct supervision
  • Experience working in a startup environment is a plus

About Ethic:

Ethic is working toward a future where all investing is sustainable investing. We empower wealth advisors and investors to create portfolios that seek to align personal values with financial goals.

Our team is committed to fostering an environment that brings together many different voices, perspectives and lived experiences to accelerate the global transition to sustainable investing.

Compensation & Benefits:

Compensation at Ethic is a combination of base salary, equity (stock options) in the company, and benefits.

The base salary for this role will range from $140,000 - $160,000 per year, commensurate with experience.

Our benefits package includes;

  • Medical, dental & vision insurance – premiums 100% covered by Ethic
  • 401k plan with sustainable investment options and a 3.5% employer match
  • Unlimited paid time off
  • 16-weeks of paid parental leave
  • An annual wellness & education stipend
  • Sponsored employee resource groups
  • Regular lunch & learns and volunteering opportunities
  • A fully-stocked office in lower Manhattan + the flexibility to regularly work remotely

Location: New York, NY (in-office at least 2 days a week)

Submit an application:

If you are interested in applying for this role, please submit both a resume and a cover letter below.

Ethic values the diversity of our team and welcomes applications from all backgrounds and life experiences. In order to continuously grow a diverse team, we are taking a data-driven approach to understanding and iterating our hiring practices. Please complete the demographic survey below to support us in doing so.