Corporate Compliance Associate

Meridiam is looking to reinforce its compliance program by adding a Corporate Compliance Associate to its team at Meridiam Infrastructure North America Corporation (“MINA Corp.” or “RIA”) based in Washington, DC. The qualified candidate will focus on Corporate Governance and SEC Compliance matters pertaining to Meridiam’s activities in the Americas. In addition, the candidate will assist with the administration of the regulatory compliance program, including the compliance monitoring and testing program, which is focused on MINA Corp.’s RIA activities. This is an excellent opportunity for someone looking to work in a fast-paced and entrepreneurial environment. The ideal candidate will have 3-5 years of compliance experience at a private fund manager and/or regulatory agency.

Key Responsibilities:

• Maintenance of Corporate Governance documents and corporate life (LLCAs, LPA, Resolution, etc.)

• Support in corporate contractual management, and provide support to business development

• Assisting with preparation of certain regulatory filings such as ADV, PF, BEA, as well as certain non-US compliance-related filings (Canada). 

• Monitor compliance with the Code of Ethics, as well as policies, procedures and protocols, including those in respect of personal trading, political contributions, outside business activities and gifts and entertainment.

• Preparing all reporting and filing obligations and monitoring the compliance activities of Meridiam in North America (lobbyist registration, marketing and advertising materials).

• Participate in risk monitoring of all investment vehicles managed by the RIA

• Participate in the regular compliance testing and monitoring of the compliance processes and procedures

• Aid the RIA in being “exam ready" for future SEC/Regulatory exams

• Assisting with maintenance, organization, and filing of compliance books & records.

• Assisting with other compliance-related projects as needed (Meridiam is an ISO 9001 and 37001 certified group).

• Partner with finance, IR, and investment operations teams to ensure integration of the compliance program across the firm.

• Assist with preparing compliance training materials and conduct training.

• Stay current on new and upcoming regulations and practices affecting the RIA’s operations.

• Identify, develop, and implement process, practice, and policy improvement initiatives.

Requirements:

• Bachelor’s Degree required; JD or Masters a plus

• Minimum three- five years’ experience in the financial services/fund management field with focus on RIA SEC compliance. Private Equity Fund exposure is preferable; understanding of private equity fund structures, operations, and administration

• Knowledge of the Investment Advisers Act of 1940, as amended

Preferred Skills and Qualifications:

• Experience in working with highly confidential information

• Highest degree of integrity, professionalism, diplomacy, and discretion required

• Ability to think and act strategically with a creative mind to suggest improvements and solve problems

• Self-starter/independent thinker with a very strong work ethic

• Excellent organizational skills with meticulous attention to detail

• Individual should be “solutions-oriented,” working towards the common goal of the RIA

• Ability to manage multiple assignments and transactions simultaneously

• Ability to plan, organize, and prioritize assignments, and to meet deadlines

• Flexibility to take on new tasks and projects as they arise

• Strong communication and interpersonal skills, and ability to interact with individuals from all levels of the organization

• A strong desire to be part of a global company that is in business to improve the quality of people’s lives, support communities, and protect the planet for future generations.