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Job Title: Deputy Chief Compliance Officer/Assistant Counsel

RiskX Investments LLC

This is a Full-time position in New York, NY posted June 10, 2021.


Entry/mid-level position in the Legal/Compliance Department.

This position supports and assists the Chief Compliance Officer (“CCO”) in the oversight of the execution and development of an SEC registered investment adviser’s and mutual funds’ compliance programs.

Legal responsibilities include drafting and review of contracts; legal research; preparation of board meeting materials, memoranda and minutes; and tending to general corporate matters.

The position will report to the CCO at the RiskX Investments New York office.

The responsibilities include:
Updating and ongoing monitoring of the compliance programs, and maintaining same current with new regulatory and market developments and industry best business practices.

Conducting and preparation of the annual assessment of the compliance programs.

Perform various forensic testing procedures with a view to identifying potential compliance problems.

Monitoring personal securities trading and political contributions of investment adviser personnel, record retention, email surveillance and oversight of the compliance programs of the mutual funds’ service providers.

Daily, weekly, and monthly monitoring of service provider compliance reports.

Preparing Board materials including agendas, resolutions, memoranda, minutes and collateral and support materials Preparing annual updates and amendments to mutual fund registration statements and other regulatory filings, Form ADV, proxy statements and related filings.

Review and draft contracts and attend to general corporate matters.

Perform other duties as assigned.

Law degree or equivalent legal or compliance experience required.

Ideal candidate will have three to four years’ experience within an investment management company, service provider or law firm with an investment management practice.

Will consider recent law school graduates.

Strong problem-solving skills, conflict management and analytical ability Efficient organizational and time management skills Ability to work with a sense of urgency to meet deadlines and address competing priorities Effective written, listening and verbal communication skills and strong attention to detail Self-starter that demonstrates initiative and motivates others Proficient skills within Microsoft Office software, including Excel, Word, PowerPoint and Outlook
Job Type: Full-time

Investment management company, service provider or law firm with an investment management practice: 3 years (Required)
Bachelor’s (Required)