Compliance Associate

Overview

About the role:

We are seeking a compliance professional to join the Company's SEC/Corporate Compliance team as a Compliance Associate. The Compliance Associate will work collaboratively within the SEC/Corporate compliance team to perform a variety of duties for the Company's SEC registered investment advisers, affiliated family office accounts (public and private market investing) and corporate compliance program. The position requires considerable initiative, judgment and discretion in completing assignments.

Responsibilities

What you will do:

• Handle extremely confidential information
  • Proprietary and confidential business data
  • Confidential employee personal data
• Assist with data collection, drafting and distribution (as necessary) for a variety of regulatory filings and disclosures
  • Section 13 and Section 16 filings
  • Form ADV
  • Form PF
  • Privacy Notices
  • AIFMD Annex IV and Annual Reports
• Work with Paralegal Services and other departments throughout the Firm to gather information and prepare responses for AML/KYC requests
• Work with Compliance Analyst on employee onboarding, including setup and training
• Assist with or drive, as appropriate, various Compliance workflows and initiatives including:
  • Gathering materials for annual compliance reviews / mock SEC exams
  • Monitoring and testing program
  • Compliance calendar preparation and tracking
  • Employee compliance training - scheduling, material preparation, presentation and attendance tracking
  • Policy and procedure reviews and updates
  • Vendor due diligence
  • Code of Ethics pre-clearance and reporting program and maintaining web-based compliance portal (MCO)
  • Collaborations with other departments, including IS&T, HR and IR

Qualifications

We want you on our team because you:

• Have 3-5 years as an in-house compliance generalist and/or a paralegal in a related area of the law
• Are familiar with private fund structures and governance
• Possess excellent oral and written communication skills
• Have a positive attitude and flexibility
• Are resourceful, self-motivated and a problem-solver
• Are team-oriented with confidence to interact with senior and junior colleagues throughout the organization using various forms of communication, including in-person
• Have the ability to multi-task and move quickly between projects
• Are highly organized and efficient with great attention to detail
• Have a Bachelor's degree or higher from an accredited college or university

About Us

LS Power, founded in 1990, is a leading development, investment and operating company focused on the North American power and energy infrastructure sector.  We have developed, constructed, managed and acquired more than 45,000 MW of competitive power generation, over 660 miles of transmission infrastructure, and raised over $47 billion in debt and equity investments. Our energy transition platforms include CPower Energy Management, Endurant Energy, EVgo, REV Renewables, Rise Light & Power, and Primary Renewables Fuels, our waste-to-energy program. The Firm is headquartered in New York with offices in New Jersey, Missouri, California and Texas.

 

Benefits

We provide our team the opportunity to share their unique perspectives, solve new challenges, and continue in their career growth. We are committed to supporting employees' happiness, healthiness, and overall well-being by providing comprehensive benefits that include 100% employer paid premium healthcare, paid parental leave and more.

 

DEI Statement

At LS Power, we seek to position our employees for success.  We provide a stable and fulfilling career with an enhanced focus on diversity, equity and inclusion (DE&I). More than being an equal opportunity employer, we are committed to hiring and developing diverse talent as part of our pledge to "Powering Change." Through Powering Change, we embody the belief that diverse perspectives foster innovation, and in turn, the continued growth of LS Power.

 

Compensation

The salary for this role is $100k - $130k. This is the range that we in good faith anticipate relying on when setting wages for this position. We may ultimately pay more or less than the posted range and this range is only applicable for jobs to be performed in New York. This salary range may also be modified in the future.

 

Employment Type: FULL_TIME