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.
- 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.
- 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
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 firstname.lastname@example.org. All candidates must be a citizen of the United States or a permanent resident.