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ASSISTANT DIRECTOR OF LEGAL & COMPLIANCE

Polen Capital Management


Location:
Boca Raton, Florida 33431
Date:
03/17/2017
Job Type:
Other
Job Status:
Full Time
Categories:
  • Securities
Polen Capital Management
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Job Details

ASSISTANT DIRECTOR OF LEGAL & COMPLIANCE


Firm Overview

  

Founded in 1979, Polen Capital is a global investment management firm managing over $12 billion in assets and providing high value-added quality growth investment strategies to sophisticated clients around the world. The Firm seeks to attract, develop, and retain exceptional professionals who are committed to our goal of preserving and growing our clients’ assets to protect their present and enable their future. Polen Capital’s investment team oversees a global equities universe of high-quality growth companies and manages three Large Cap growth strategies: Focus Growth, Global Growth, and International Growth. Polen Capital’s strategies are offered through various investment vehicles to accommodate a broad range of client mandates. Polen Capital benefits from significant, broad-based employee ownership and is headquartered in Boca Raton, Florida.

 

  • Firm still in growth mode – Over the past five years Polen Capital has experienced significant growth becoming a leader in active growth management. As such, as a member of its Business Management team, the Assistant Director will be part of this exciting stage of the Firm. 

  • High visibility with Firm leadership – This position reports directly to the Director of Legal & Compliance and has regular meetings and problem solving sessions with the Director and other members of the global operating team. 

  • Meritocracy environment – Polen Capital prides itself on being a pure meritocracy company allowing exceptional employees to be rewarded for exceptional work. 

  • Entrepreneurial setting – Although the Company has over 40 employees and has been in business for 30+ years, it continues to grow year over year therefore giving the Assistant Director of Legal & Compliance a unique opportunity to build and shape an enterprise with a highly skilled, tight knit global leadership team. 

 

Position 

 

Polen Capital is seeking an Assistant Director of Legal & Compliance based in our Boca Raton, Florida head office who will be responsible for supporting the Director of Legal & Compliance oversee and manage compliance within the organization, ensuring that the Firm and all employees are complying with regulatory requirements and internal policies and procedures.  The Assistant Director of Legal & Compliance reports to the Director of Legal and Compliance.

 

Responsibilities

 

 

Responsibilities include the following: 

  • Responsible for implementation and oversight of the Firm’s compliance program, including systems monitoring, technology-based controls, compliance monitoring and testing, assist external audit team conduct our annual compliance review and risk assessment.

     

  • Support the Director in drafting and negotiating investment management agreements, guidelines and other agreements with clients, financial institutions, consultants, plan fiduciaries and investment advisers

     

  • Researching and advising on contractual, securities law, banking law, trading and portfolio management issues

     

  • Support the Director of Legal & Compliance develop, maintain and revise the Firm’s policies and procedures manual, ensuring compliance with such policies, and providing employee training related to such policies.

     

  • Support the Director of Legal & Compliance 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 Director of Legal & Compliance on progress of compliance oversight, challenges, and future state design.

     

    Qualifications  

  • Minimum 4-6 years’ experience as a lawyer in a major law firm or in the legal department of a leading investment management firm

  • Graduate degree in law (J.D.) from a nationally-recognized top-tier law school

  • Experience with the U.S. Federal securities laws (preferably the Investment Advisers Act and/or the Investment Company Act)

  • Knowledge of the products and services available in the investment management industry

  • High standards of personal integrity and accuracy

  • Effective oral and written communication skills and strong analytical skills

  • U.S. Permanent Work Authorization (Required)

 

 

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