Legal And Compliance Analyst

Profile

Legal and Compliance Analyst
The candidate will manage quarterly and annual certification process. Assist with preclearance requests and trade alerts. Work with brokerage firms to set up and maintain electronic feeds to compliance system. Serve as first point of contact on related employee inquiries and vendor support. Project manage annual compliance program review. Oversee BCP content and updates for all Burford office locations. Liaise with Burford IT team to ensure that all system access instructions are up to date. Assist with BCP testing. Assist IT team with periodic benchmarking of cybersecurity standards. Support Funds IR team when developing new marketing content. Initial review of marketing materials for Funds and US public company compliance. Manage internal review process and maintain required documentation and records. Periodically review and assess files for organization and completeness. Assist with periodic audit of recordkeeping requirements. Assist CCO with development and upkeep of compliance policies. Assist CCO with creating and administering various employee trainings. Maintain US regulatory filing calendar. Assist team with ongoing SEC and NYSE filing requirements in the US. Project manage Form ADV and Form PF filings. Assist with investor due diligence meetings. Prepare and update due diligence questionnaires for review. Assist with RIA vendor due diligence review. Assist with the development and execution of SOX compliance and risk testing. Assist with the development and execution of disclosure controls and procedures for SEC filings. Coordination of board and board committee meetings and compilation/distribution of meeting materials. Preparation and filing of organization/formation documents for new company subsidiaries. Update and maintenance of organizational entity charts. Manage wind-down of entities. Coordinate management of relationships with corporate services providers in various jurisdictions, including tracking services contracts and monitoring fees. Support financing activities by managing responses to due diligence / KYC inquiries from service providers and counterparties in various jurisdictions, including preparing and
gathering all required materials. Develop a keen understanding of the group’s corporate structure, to become a resource to others around the business as we seek to maximize efficiency and tax compliance. Assist with maintaining vendor management database.

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