Compliance and Investment Paralegal

Compliance and Investment Paralegal

Compliance and Investment Paralegal

Back to All Jobs

Job Description

Accounting / Finance - Full-time

The Opportunity
Ottawa Avenue Private Capital (OAPC), an affiliate of RDV Corporation (RDV), manages an alternative asset portfolio that specializes in private equity, seeking to offer clients a single access point to middle-market private equity sponsors across private equity, private credit, and secondary strategies. As an affiliate of RDV, OAPC utilizes RDV’s Talent Services team to coordinate employee recruiting initiatives. OAPC continues to experience rapid growth, creating a fast-paced and dynamic work environment for its employees.

The Compliance and Investment Paralegal will serve to support the legal function delivering services to the OAPC Investment Group and (as needed) RDV Corporation; and work with the OAPC compliance team to help administer and manage the firm’s regulatory compliance program. Multiple positions available. 

Culture of Care
At RDV Corporation, we recruit only the most talented people who are highly capable, energetic, positive, results focused, and who naturally contribute to a premier service-oriented culture. In turn, our employees experience competitive compensation and comprehensive benefits programs that enhance their lives and experiences. They also enjoy a workplace that is meaningful, engaging, and collaborative; a place where they can grow their career in the vibrant heart of downtown Grand Rapids, MI.

Duties and Responsibilities

Legal – Work with the OAPC Legal team to:

  • Manage “Know Your Customer” (“KYC”) processes for OAPC clients and investments
  • Maintain library of relevant documents for KYC purposes
  • Respond to “CRS/FATCA” requests on behalf of OAPC
  • Maintain electronic document management system for legal records
  • Assist with entity formation for new investment opportunities
  • Prepare entity structure charts and other PowerPoint presentations
  • Administer contracts (non-disclosure agreements, no-reliance letters, etc.)
  • Manage process to ensure proper execution and retention of investment documentation
  • Serve as primary contact point for firm’s DocuSign and LinkedIn accounts
  • Proofread and review all client distributions for clarity, style, and regulatory compliance
  • Other projects as assigned

Compliance – Work with the OAPC Compliance team to:

  • Manage firm-level and employee-level compliance software systems
  • Participate in development and administration of compliance testing program
  • Conduct initial and ongoing vendor diligence
  • Develop and deliver compliance training materials (annual and periodic)
  • Manage expense allocation process
  • Serve as the liaison with IT on cybersecurity projects
  • Maintain compliance manual through revision process and compliance logs
  • Plan and execute compliance testing activities
  • Prepare presentation material for Risk Committee meetings
  • Participate in Risk Committee meetings to maintain and document minutes
  • Maintains other compliance records, including SEC exam prep materials
  • Assist with preparation of reports and marketing materials.
  • Other projects as assigned.

Elements of Success

  • Associates degree or higher with 3-5 years related work experience or 7+ years of related work experience.
  • Previous experience working in a highly professional, fast-paced investment firm and/or compliance related position preferred.
  • Must be willing to develop a comprehensive knowledge of private equity strategies and processes (training provided).
  • Strong attention to detail, oral and written communication skills, and organizational skills.
  • Ability to get along with diverse personalities and a desire to work in a cross-functional team environment.
  • Ability to effectively interact with all levels of management, including executive leadership, in a professional and highly confidential corporate environment.
  • Flexible self-starter with strong project management skills; able to prioritize multiple tasks and work efficiently.
  • Demonstrated proficiency in a Microsoft Windows environment (particularly MS Office), including familiarity with Adobe Acrobat and internet searches. Knowledge of MacroView DMF, SharePoint and redline software beneficial.
  • Working knowledge of office machines and equipment.
  • Personal demeanor which is professional, mature, courteous, cheerful, and gracious.
  • Ability to be flexible in working additional hours if requested, in addition to normal work week schedule, in order to meet critical project deadlines.
Apply Now