Altegris is a pre-eminent provider of alternative investments. Our mission is to find the best alternative investment managers and bring them to our clients through alternative mutual funds, private funds, and futures managed accounts. Our suite of products is sold through the intermediary channel, including wirehouses, independent broker/dealers, bank/trusts and registered investment advisors. We also have a robust Private Client Group that works directly with high net worth individuals and family offices. We pride ourselves on our people and are strongly committed to our company motto: Trusted Alternatives. Intelligent Investing.
Altegris is in a very exciting growth phase and is searching for a talented and motivated Legal and Compliance Associate to provide administrative and compliance support to the firm’s Legal and Compliance Department. The Department oversees a wide range of legal and compliance matters for the Altegris group of affiliated companies, which include a securities broker-dealer, investment advisers to both mutual funds and unregistered funds offered in reliance on Regulation D (i.e., hedge funds/commodity pools), and also futures introducing brokers, commodity pool operators and commodity trading advisors. This position will report directly to the Vice President, Senior Legal Counsel, and work closely with other members of the Department as well as with staff of the firm’s Operations, Marketing and Information Technology departments.
- Maintain legal documentation for public and private investment funds, including formation and corporate governance documents, Board meeting materials, prospectuses, private placement memoranda, initial and periodic SEC and other regulatory filings, and other investor disclosure materials.
- Create, maintain and coordinate execution and filing of all legal agreements across business lines, including distribution, advisory, vendor and service provider contracts.
- Maintain databases in support of client relationship-management tools, marketing materials content and compliance systems.
- Manage collection and organization of all electronic and hard copy legal files both on- and off-site, which may include sensitive and confidential information.
- Support CCOs across all business lines, and others in compliance, in reviewing and monitoring portfolio transactions and compliance restrictions, and assessing and implementing ongoing compliance testing and control systems.
- Administer the firm’s personal trading, code of ethics, and insider trading policies.
- Assist legal department personnel as necessary in responding to regulatory or litigation subpoenas or document requests, supporting regulatory examinations, and providing transaction-related diligence and audit support.
- Provide calendar coordination, project management and overall administrative support to the Legal and Compliance Departments.
- College degree
- Strong interpersonal and organizational skills, with high attention to detail
- Ability to handle multiple tasks and work independently in a highly-regulated, fast-paced and complex business environment, exercising sound judgment
- Proficiency in Microsoft Outlook, Word and Excel
- Strong information management and data retrieval skills
Altegris prides itself on its people. We are looking for entrepreneurial, motivated team members and are committed to providing an environment where these people can excel.