PARALEGAL and COMPLIANCE ASSOCIATE

Alumni Ventures Group is searching for a Paralegal who will be responsible for supporting the General Counsel and Senior Compliance Officer in ensuring that the organization operates in a legal and compliant manner while achieving business goals.  The Paralegal will be a key member of the legal and compliance team, leveraging strong relationships throughout the organization, and will be trusted and relied upon to ensure accurate and timely completion of required regulatory filings related to private fund offerings and operations.   

ABOUT ALUMNI VENTURES GROUP 

Alumni Ventures Group is a fast-growing company with around 100 employees across the country dedicated to growing and engaging with an inclusive community of teammates, investors, and entrepreneurs disrupting the status quo in order to build a better future. AVG provides accredited investors with a smart, simple way to own a high-quality, actively-managed venture portfolio.  Today, we serve roughly 4,000 investors, hundreds of startups, and a community of over 500,000 stakeholders across the country.  Our corporate headquarters in Manchester, NH provides support and resources to our fund teams in Boston, New York, Chicago, and San Francisco. 

ABOUT THIS ROLE

Today, AVG delivers a direct-to-client approach to thousands of accredited individual investors.  Our product is simple: actively-managed VC portfolios. These portfolios are diversified across stage, sector, geography, and primarily co-invested with established VC firms across the country. The Paralegal will assist the General Counsel with regulatory and related filings associated with private fund maintenance and offerings, including the Investment Advisers Act, Regulation D, Blue Sky and Anti-Money Laundering.  The responsibilities of this position will require the paralegal to work closely with various internal teams to facilitate the creation, offering and maintenance of funds and the relationships with investors.  As the second member of the legal and compliance team, the individual will offer key support to the General Counsel and assist with corporate legal matters as well as special projects designed to enhance the capabilities and functioning of AVG. 

Success for the Paralegal will be achieved through timely, accurate, and efficient completion of required assignments, as well as the ability to offer process improvements and take on additional projects designed to enhance AVG’s overall capabilities.  The successful Paralegal will work actively and intentionally to become a trusted member of the legal team, building strong working relationships throughout the organization. This position is based in AVG’s Manchester, NH headquarters. You will report to AVG’s General Counsel and Senior Compliance Officer and will work across multiple functions to ensure flawless execution of critical regulatory tasks and support related requests from a variety of stakeholders.

 

COMPENSATION & BENEFITS

In addition to salary:

Comprehensive Benefits and Wellness plan including Health, Dental, Vision

Paid parental leave

401K Retirement plan

Unlimited Time Off

Flexible Schedule

 

OUTCOMES & RESPONSIBILITIES

OUTCOMES

  • Identification and implementation of process improvements to enhance overall efficiency and capabilities of the organization
  • Becomes a valued and relied upon member of the AVG team, building strong relationships with multiple stakeholders
  • Completion of required regulatory filings timely and accurately, ensuring AVG’s compliance with regulations and laws related to private fund offerings, including marketing, sales and investor on-boarding requirements
  • Consistent compliance with internal policies and procedures
  • Enthusiastically assists General Counsel and Senior Compliance Officer with corporate governance and other legal projects to help meet AVG legal-related requirements

RESPONSIBILITIES

  • Under the direction of the General Counsel and Senior Compliance Officer, prepare fund offering materials and complete initial registration filings, as well as Blue Sky filings upon closings of offerings, to ensure timely and accurate completion in accordance with regulatory requirements
  • Assist with compliance requirements for marketing materials
  • Track and ensure compliance with investor accreditation requirements
  • Liaise and coordinate with other internal personnel involved in fund offerings, including marketing, registered reps, investor relations, fund accounting, administration and technology
  • Assist with and take responsibility for special projects designed to enhance processes, procedures, efficiency and accuracy of AVG operations, databases and record-keeping
  • Assist with compliance requirements for AVG staff, including investment personnel and registered representatives
  • Disseminate and properly record/archive Carried Interest letters provided by AVG’s Office of Investment and approved by HR
  • Support the audit process for required employment records pertaining to AVG personnel and board members, and help secure any outstanding records including; Non-Disclosure agreements, equity grant documentation, financial disclosures, etc.
  • Support HR and employment compliance initiatives and audit processes
  • Assist General Counsel with corporate governance, contracts, and other corporate legal matters and other projects as requested

REQUIREMENTS

COMPETENCIES

  • Process and detail-oriented, capable of writing and reviewing processes, communications and documentation that deliver 100% accuracy
  • Strong time-management skills to deliver quality work on or before deadlines
  • Project management abilities sufficient to manage multiple tasks and initiatives while working with a variety of peer and senior stakeholders
  • Adept at learning and navigating a variety of technology and software platforms to facilitate, present and report on work, including MS Office, Google Suite and a number of proprietary systems
  • Excellent work ethic and professional demeanor
  • Positive, can-do attitude, with a drive to problem-solve and execute
  • Able to take direction and act autonomously but willing to seek clarification and question when appropriate

EDUCATION & CERTIFICATIONS, LICENSES

  • Bachelor’s degree in law, finance, business management or a related field
  • Paralegal certificate or other relevant industry qualification desired

EXPERIENCE

  • A minimum of three years providing financial, compliance or legal administrative support to a sales or customer service process
  • Prior knowledge of and experience with fund offering documents, marketing materials, registration filings, securities laws requirements
  • Prior experience with a financial services firm, law firm, investment advisor, or broker-dealer 

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