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Legal & Compliance Associate
Boca Raton, FL

Position

Polen Capital is seeking a Legal & Compliance Associate based in our Boca Raton, Florida head office who will be responsible for supporting the General Counsel & Chief Compliance Officer with legal and compliance initiatives within the organization, ensuring that the Firm and all employees are complying with regulatory requirements and internal policies and procedures. The Legal & Compliance Associate reports to the General Counsel & Chief Compliance Officer.

Responsibilities

  • Assist with periodic compliance testing
  • Actively participate in various compliance group projects and initiatives
  • Support the GC/CCO in reviewing investment management agreements, guidelines and other agreements with clients, financial institutions, consultants, plan fiduciaries and investment advisers
  • Research pertinent legal and regulatory developments
  • Prepare execution copies of agreements and coordinate execution
  • Help the GC/CCO maintain and revise the Firm’s policies and procedures manual, ensuring compliance with such policies
  • Support the GC/CCO on regulatory reporting and responding to audits, regulatory exams, investigations, and other information requests.
  • Collaborate with other departments to develop and maintain Polen Capital’s enterprise risk programs.
  • Work with GC/CCO on progress of compliance oversight, challenges, and future state design.

Qualifications

  • Undergraduate degree from a top-tier university
  • High standards of personal integrity and accuracy
  • Effective oral and written communication skills
  • Basic knowledge of the products and services available in the investment management industry, with an inquisitive nature and motivation to learn about the industry
  • Ability to prioritize and meet multiple deadlines with a sense of urgency
  • Solid interpersonal and communication skills, including a high degree of client service-mindedness

Additional Information

  • Full-time employee
  • Location: Boca Raton, FL
  • U.S. Permanent Work Authorization (required)
  • Polen Capital offers competitive benefits including employer-funded Health Savings Accounts, 12-weeks paid parental leave, 401k profit sharing, onsite fitness and wellness, and individual learning budgets

INSTRUCTIONS FOR SUBMITTING APPLICATIONS

Qualified candidates should submit their resume and cover letter to jobs@polencapital.com. All candidates must be a citizen of the United States or a permanent resident.


We are a high-achieving, team-oriented investment firm where talented professionals can thrive in a culture built for growth.

Stan C. Moss   |   CEO, Polen Capital

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