Experienced Analyst / Paralegal - Asset Management Compliance
Group Description: Evercore Wealth Management LLC, a subsidiary of Evercore (NYSE: EVR), serves high‐net‐worth individuals, families, foundations, and endowments, delivering customize investment management and financial planning services. Evercore Wealth Management is an investment advisor registered with the U.S. Securities and Exchange Commission, with offices in New York, Minneapolis, Palm Beach, San Francisco, and Tampa. Additionally, Evercore Wealth Management offers personal trust services to its clients through Evercore Trust Company N.A., a national trust bank.
Clients at our firm work directly with a dedicated team of independent thinkers, managing complex wealth and focused on delivering meaningful results. Our Partners and other senior planning, investment, and fiduciary professionals are among the most experienced in their fields. Many of us have worked together for years and all are committed to our culture of institutional and individual integrity. Our mission is to meet our clients’ financial goals, and to earn and sustain their trust. More information can be found at www.evercorewealthandtrust.com.
What is the position? Evercore Wealth Management, LLC and Evercore Trust Company, N.A. are seeking to hire an experienced Analyst / Paralegal who will be responsible for providing support to our Asset Management Compliance team located in New York.
Primary Responsibilities:
- Assist the General Counsel/ Chief Compliance Officer and staff in maintaining the Compliance Program for a national trust bank, an SEC registered investment adviser, and a 1940 Act mutual fund.
- Prepare and disseminate board and committee packages, record minutes, maintain corporate documents
- Assist with coordination of document requests for internal and external regulatory reviews, track responses and assist with implementing recommendations
- Assist with management of Bank Secrecy Act/ Anti-Money Laundering program, vendor management program, physical security program and business continuity planning and coordination
- Create and maintain policies and procedures database
- Assist with day-to-day administration of the Code of Ethics and the personal trading database; pre-approval requests, surveillance, tracking of initial, annual and quarterly certifications, maintenance of restricted trading list, track managed account letters and provide 407 letters review paper statements, reconcile unmatched confirms, resolve systems issues (e.g., add brokers to system, troubleshoot when a broker feed has not been supplied), initiate and follow-up on system generated certifications
- Maintain incident reports including code of ethics breaches, error report and complaint log
- Manage annual mailings/distribution of required compliance communications, including Form ADV, Privacy Notice, 408(b)(2) Service Provider Fee disclosures
- Gather information for and prepare regulatory filings (13H, 13F, ADV, Form PF)
- Create, maintain and monitor reports to track and review adherence to various policies and procedures
- Maintain the ongoing initial and annual review process for accounts. Ensure reviews are conducted timely and accurately. Analyze data and report findings, including reporting for committee meetings. Identify, research and escalate potential issues; follow-up on any exceptions.
- Track various compliance and policy requirements / board reports
Specific Qualifications:
- Bachelor’s degree
- Experience in wealth advisory/ private banking compliance, including private equity and 1940 Act funds
- Technology proficiency and curiosity e.g. with Microsoft Word, Excel, PowerPoint, Access, Advent, APX and database work
- Corporate governance/ paralegal experience a plus
- Notary license a plus, but not required
About Evercore: Evercore (NYSE: EVR) is a premier global independent investment banking advisory firm. We are dedicated to helping our clients achieve superior results through trusted independent and innovative advice on matters of strategic significance to boards of directors, management teams, and shareholders - including mergers and acquisitions, shareholder advisory, restructurings, and capital structure. Evercore also assists clients in raising public, private capital, delivers equity research, equity sales and agency trading execution, in addition to providing wealth and investment management services to high net worth individuals. Founded in 1995, the Firm is headquartered in New York and maintains offices and affiliate offices in major financial centers in North America, Europe, the Middle East and Asia. For more information, please visit www.evercore.com.
Inclusion and Equal Opportunity Employment: Evercore is an equal opportunity employer committed to diversity and inclusion. We are pleased to consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veterans status, Aboriginal/Native American status or any other legally-protected factors.