Junior Compliance Officer

Working at Alger

Alger is an entrepreneurial, privately owned firm which encourages and empowers its employees to be intellectually curious and continually improve. We seek individuals who can think independently yet work collaboratively, are motivated to be best in class, challenge the norm and have fun while doing it. Alger values its employees and rewards them accordingly.

Alger provides ample training (see below) to employees and encourages employees to grow in their roles. This culture of continuous improvement is reflected by the fact that many Alger employees have worked at the firm for more than 10 years.

We offer a comprehensive personal wellness program that provides resources to help you take charge of your physical well-being, encourage a healthy lifestyle and better manage health care costs. Alger also provides its employees with numerous ways to save and invest, including a comprehensive 401(k) with a generous employer match, financial planning tools, automatic investing plans and more. Underlying our financial wellness program is a strong educational platform.

We’re focused on helping employees more easily manage their work and personal lives. Our life management programs include paid time off, sick leave, paid medical leave, paid parental leave, health club membership reimbursement program and helpful employee assistance programs.

To learn more about Alger, our philosophy and some of the people that drive our investment success please visit our Profiles in Success page HERE.

https://www.alger.com/Pages/ProfilesinSuccessIntroduction.aspx

Alger is proud to be an E-Verify & Equal Opportunity Employer. It is Alger’s policy to provide equal employment opportunity to all employees and applicants for employment. No qualified applicant or employee of Alger shall be discriminated against in employment on the basis of race, national origin, ancestry, religion, gender (including gender identity and gender expression), mental or physical disability, age, sex, sexual orientation, genetic information, military or veteran status, or any other status protected by law (“Protected Characteristic”). This Policy applies to all terms, conditions, and privileges of employment, including but not limited to, hiring, compensation, benefits, promotion, and termination.

Note:  This job description should not be construed to imply that these requirements are the exclusive standards of the position.  Incumbents will follow any other instructions, and perform any other related duties, as may be required.  The employer has the right to revise this job description at any time.  This job description is not to be construed as a contract for employment.

Fred Alger & Company, LLC is an Equal Opportunity Employer

 Job Title: Junior Compliance Officer

Reports to (title): Assistant Counsel

Job Description:

Alger seeks a highly motivated, experienced, and collaborative individual to serve as a Junior Compliance Officer. The Junior Compliance Officer will aid the SVP, General Counsel, Assistant and Associate Counsels, and Compliance Officers by providing support in the drafting, editing, revising, and reviewing of regulatory documents, policies and procedures, contracts, marketing materials, and board materials. The role aims to support and facilitate Alger’s business to be conducted in compliance with applicable laws, regulations and firm policies.

Duties & Responsibilities:

·        Assist in the preparation and execution of contracts and agreements for U.S. and non-U.S. registered funds and corporate entities

·        Aid in the preparation of registration statements, supplements, and related filings via a prospectus content management system

·        Compile, organize and review agendas and materials for Board of Trustees meetings; draft minutes of meetings; liaise with Board of Trustees on advisory and distribution matters

·        Review disclosure documents, including shareholder reports

·        Assist legal and compliance with SEC and FINRA requirements

·        Organize and maintain fund related electronic filings

·        Prepare and file Section 13 filings

·        Monitor and review new and proposed regulations impacting investment advisers and funds

·        Perform legal research using the internet and other resources

·        Under supervision, help to develop, draft and execute policies and procedures that are designed to detect and prevent violations of the federal securities laws and mitigate various types of risk, including compliance and operational risk

·       Review and file marketing materials, including RFPs and due diligence questionnaires

·        Will also work on additional projects/duties as assigned

Qualifications:

·        Bachelor's degree in Finance, Business Administration, Legal Studies or a related field, or an equivalent combination of education and experience.

·        Cumulative GPA of 3.0 or above in a 4.0 scale is required

·        2-4 years' prior experience, preferably working with Mutual Funds or ETFs

·        Experience with annual report reviews a plus

·        Exceptionally detail-oriented

·        Demonstrated ability to work on multiple priorities at any given moment

·        Strong communication skills both oral and written with strong follow-up

·        Position requires the ability to work well independently and as part of a team, under pressure, and to demonstrate resourcefulness in problem solving

·        Strong writing skills

·        Strong organizational skills

Skills:

·        Required proficiency in Word, Excel, EDGAR (i.e. SEC electronic filing System)

·        Knowledge of the mutual fund and ETF industry and applicable securities laws (including Investment Company Act and Investment Advisers Act)

Salary Expectations: $80,000-100,000 base salary plus discretionary bonus per performance

 Note: This job description should not be construed to imply that these requirements are the exclusive standards of the position.  Incumbents will follow any other instructions, and perform any other related duties, as may be required.  The employer has the right to revise this job description at any time.  This job description is not to be construed as a contract for employment.