Compliance Officer and Counsel

RESEARCH AFFILIATES ASPIRES TO BE A LEADING SOURCE OF INSIGHTS AND PRODUCTS THAT TRANSFORM THE GLOBAL INVESTMENT COMMUNITY FOR THE BENEFIT OF INVESTORS. DEMONSTRATING OUR STRONG RESEARCH FOCUS, RA PARTNERS WITH SOME OF THE WORLD’S LEADING FINANCIAL INSTITUTIONS TO DISTRIBUTE MARKET-CHANGING PRODUCTS IN QUANTITATIVE FUNDAMENTAL EQUITIES AND MULTI-ASSET TACTICAL ALLOCATION (STOCKS, BONDS, CREDIT, CURRENCIES, AND COMMODITIES). OUR HIGH-REACHING EDGE IS THE STRENGTH OF OUR RESEARCH, OUR PRODUCT DEVELOPMENT CAPABILITIES, AND OUR FOCUS ON CULTURE. RESEARCH AFFILIATES IS COMMITTED TO DIVERSITY IN OUR WORKFORCE. WE SEEK TO FOSTER AN INCLUSIVE AND RESPECTFUL CULTURE, WITH EQUALITY OF OPPORTUNITY FOR ALL. WE APPRECIATE THE ADVANTAGES OF HAVING HIGHER COLLECTIVE INTELLIGENCE THROUGH VARIED PERSPECTIVES.

We believe that a positive corporate culture is vital to our success. We place great value on collaboration, curiosity, responsibility, and authenticity. In our hiring process, we seek individuals who embrace these values. The result is a friendly, respectful, and collegial workplace where diversity is embraced, strong opinions are loosely held, and disagreements do not become personal. Our culture is well described in this article: https://tinyurl.com/y6k7r92a

JOB DESCRIPTION:

We are seeking an experienced legal and compliance professional to join our team, supporting all aspects of our index and investment management operation. The ideal candidate will provide strategic legal counsel, support our regulatory compliance frameworks, and help ensure that our firm’s investment activities align with SEC, FINRA, and other applicable regulations.

ROLES AND RESPONSIBILITIES:

• Support all aspects of the firm’s compliance program, including:
  • Annual 206(4)-7 compliance review
  • Develop, implement, and maintain compliance policies, procedures, and internal controls.
  • Review of marketing materials, research papers, etc. 
  • Preparing and submitting regulatory filings (eg. Form ADV, etc.) 
  • Oversee compliance testing, monitoring, and risk assessments to ensure adherence to the firm’s Code of Ethics and regulatory obligations.
• Draft, negotiate and manage vendor, client and corporate agreements
• Advise on legal and regulatory issues relating to investment management, including the Investment Advisers Act, Investment Company Act, and related securities laws.
• Support filings and registrations (Form ADV, Form PF, etc.) and assist with regulatory examinations and audits.
• Provide support to Human Resources and related employment matterS

EDUCATION AND EXPERIENCE:

• 4 to 6 years of combined experience in a law firm and/or in-house legal/compliance role focused on investment management or asset management
• J.D. degree from an accredited law school and active license in good standing.
• Familiarity with a full range of advisory products and services, including mutual funds, UCITS funds, separately managed accounts and indices
• Familiarity with the index business is a plus
• Superior judgment, and the ability to identify issues and make reasoned decisions in a fast-paced environment

WHAT WE PROVIDE:

• A flexible hybrid work model. We value collaboration and provide ample opportunities to foster a sense of community within your team and the company, while still appreciating the need for flexibility.
• Generous comprehensive insurance plans.
• Education assistance and tuition reimbursement program.
• Company sponsored social and recreational activities.
• Flexible time off.
• Six-week sabbatical after 7 years of continuous employment.
• Company sponsored daily in-office meals.
• Gym membership stipend.

Salary Range: $165,000 - $200,000 + eligible for a discretionary bonus. Base pay will be assessed taking into consideration such factors as location, qualifications, skills, and experience. The base pay range is subject to change and may be modified in the future.

Please submit resume and cover letter to humancapital@rallc.com.