The Senior Legal & Compliance Associate will be based in our Boca Raton office and 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 Senior Legal & Compliance Associate reports to the General Counsel & Chief Compliance Officer (GC/CCO.)

Roles & Responsibilities

  • Assist with periodic compliance testing
  • Collaborate with the Marketing team to provide compliance oversight related to RFIs, RFPs, DDQs, investment commentaries, presentations, and other marketing materials
  • Actively participate in various compliance group projects and initiatives
  • Work alongside the GC/CCO in reviewing guidelines and other agreements with clients, financial institutions, consultants, plan fiduciaries and investment advisers
  • Research pertinent legal and regulatory developments
  • Support the GC/CCO in developing, maintaining, and revising the Firm’s policies and procedures manual, and ensuring compliance with such policies
  • Assist the GC/CCO on regulatory reporting and responding to audits, regulatory exams, investigations, and other information requests
  • Work with GC/CCO on progress of compliance oversight, challenges, and future state design

Preferred Qualifications

  • Undergraduate degree from a top-tier university, minimum GPA 3.3
  • Minimum three years of experience in the financial services industry in a compliance role
  • FINRA Series 7 and Series 24 licenses, or ability to become licensed within six months of employment at the Firm
  • High standards of personal integrity and accuracy
  • Effective oral and written communication skills
  • Intermediate knowledge of the products and services available in the investment management 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
  • Boca Raton, Florida
  • U.S. Permanent Work Authorization (required)
  • Nominal travel required (conferences, training, etc.)
  • Polen Capital is a ROWE (Results-Only Work Environment,) offers competitive health benefits and annual individual training budgets

Instructions for Submitting Applications

Qualified candidates should submit their resume and cover letter to jobs@polencapital.com.