Senior Compliance and Investment Paralegal

Senior Compliance and Investment Paralegal

Senior Compliance and Investment Paralegal

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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. 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.

OAPC is currently seeking to add a Senior Compliance and Investment Paralegal to the firm’s team.  This position will serve to (i) support the legal function delivering services to the OAPC Investment Group and (as needed) and (ii) work with the OAPC compliance team to help administer and manage the firm’s regulatory compliance program.

Candidates that do not meet the full requirements listed below, but which otherwise have relevant experience and aspire to develop into a senior or advanced level role, are encouraged to apply and will be considered for a Compliance and Investment Paralegal position.     

Our Unique Benefits
At OAPC, we are intentional about enriching our culture and employee experiences through a unique blend of benefit offerings that include:

  • Robust health insurance options with competitive employer contributions.
  • 401k retirement plan with a generous employer match of up to 7.5%.
  • Competitive bonus program (position dependent).
  • Grab and Go Deli/Market with employer-provided account credit of $650/year.
  • Paid Time Off (PTO) starting at 22 days per year in addition to 9 paid holidays.
  • Fun culinary experiences and connecting with co-workers at monthly catered lunches, free of charge to employees.
  • Employer paid parking in the heart of downtown Grand Rapids.
  • Education and training reimbursement programs.
  • Discounted memberships to MVP Sportsplex.

What You’ll Do

Legal – Work with the OAPC legal team to:

  • Support preparation and drafting of investment documents.
  • 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 and other OAPC 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 account.
  • 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.
  • Support compliance-related IT and 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.
  • Serve as primary contact point for the firm’s LinkedIn account.
  • Assist with preparation of reports and marketing materials.
  • Other projects as assigned.

What You’ll Bring

  • Bachelor’s degree or higher with 5-7 years 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.
  • 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.
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