As a member of the Legal and Compliance team, the Legal and Compliance Associate partners with General Counsel/Chief Compliance Officer, Deputy General Counsel, and Director of Private Fund Compliance on matters relating to compliance.

This role is based in ARA’s Los Angeles office. Candidates will be expected to be local residents and commute to the office, with a minimum of two days a week currently required, and a potential requirement for additional days in the future.

Essential Functions

Compliance

• Assist the Compliance team with maintenance of all SEC required documents and reporting obligations
• Maintain ARA’s Contract Log and send reminders to various departments regarding expiration and auto-renewals.
• Maintain Disaster Recovery program, including managing quarterly and semi-annual updates of the firm’s disaster recovery portal and documentation.
• Handle service of process received by CT for active entities.
• Partner with Office Assistant to conduct annual off-site records clean-up.
• Support annual compliance audit of Compliance’s policies and procedures.
• Support annual campaign finance review activities.
• Conduct quarterly reviews of ARA employees’ and third-party service providers’ LinkedIn profiles to ensure compliance with SEC social media requirements.
• Complete periodic California Lobbyist Registration Filing.
• Oversee semi-annual filing of Maryland Disclosure Statements.
• Maintain blue sky tracking log to ensure compliance with State Securities Laws in the firm’s Regulation D offerings.
• Draft quarterly Portfolio Manager certificates and coordinate execution.
• Assist with other compliance related matters connected to the firm’s commingled funds.

Entity Maintenance

• Coordinate all entity formation, dissolution, and authorizations.
• Manage Annual Maintenance/Written Consents Processes.

Candidate Qualifications

Essential Business Experience and Technical Skills

• At least two years’ experience in firms such as law, accounting, investment banking, private equity, or other similar industries, preferred.

• Candidate must be
  • Self-reliant, self-confident, adaptable, and flexible,
  • Able to work effectively in teams and individually,
  • Able to thrive on challenges and significant responsibility,
  • Work well under pressure with tight turnarounds and deadlines,
  • Exceptionally well organized and detail oriented individual,
  • Analytical and resourceful with the ability to strictly monitor and adhere to detailed processes and procedures,

COMPETENCIES

The ideal candidate for this role will exhibit competency in the areas listed below. At ARA, we see possessing these traits as vital to the success of the position:

Creative Thinking – An innovative thinker who translates thoughts into actionable items.

Works Collaboratively – A team player with a commitment to achieving objectives through collective action and communication.

High Energy – Thrives in a fast-paced, dynamic environment where multi-tasking is essential.

Models Our Values – Conducts daily business and interactions with mindfulness to reflect ARA’s culture and promote its values and standards.

Results Driven – Outperforms expectations and promotes the firm’s competitive advantage through an analytical and context-driven approach to problem-solving.

JOB SPECIFICATIONS

• Expected work hours: 8:30 to 5:30, Monday through Friday, with occasional weekends.
• Travel: Business trips with overnight stays may be required. Occasionally may need to drive a personal vehicle for business.
• Work environment and physical demands: General office environment.
• Vaccination is required to enter the workspace and ARA will consider accommodations for disability- and religious-based reasons.

Compensation

Full-Time with Benefits

Estimated salary: $20 - $30 per hour. Actual compensation will vary based on the candidate’s qualifications, education, and experience.