Legal Transfer/Private Equity Support

We are seeking an Associate to join our Legal Transfer / Private Equity Support function. This role serves as the operational support for all Private Equity Transactions, including the management of all documentation for the clearance of P/E trades, the management of open trades and the settlements of trades. Overall coverage areas will be: PE/Distressed Closings and Prime Broker.

The ideal candidate brings strong transactional documentation experience, excellent stakeholder management, and a pragmatic approach to risk and regulatory requirements, with a track record of driving complex processes to closure under tight timelines.

Key Responsibilities:

• Legal Transfer Execution
  • Lead end-to-end execution of transfer/assignment/novation processes for PE-backed transactions, including diligence, and closing documentation.
  • Coordinate LP transfer approvals, compliance checks, and consent mechanics with sponsors, counsel, and fund administrators.
• Documentation & Governance
  • Review and manage closing sets (assignments, joinders, notices) ensuring consistency with agreements, commitment papers
  • Administer standard forms/playbooks and escalation protocols; maintain accurate records and audit trails in relevant systems.
  • Partner with Legal, Compliance, Risk and Private Equity Closers to align documentation and processes with firm policies and regulatory expectations.
• Stakeholder & Process Management
  • Serve as the operational point-of-contact for PE Closers, Middle Offices and Transfer Agents on transfer mechanics, timelines, and deliverables.
  • Coordinate cross-functional workflows with Capital Markets, Operations, Middle Office, Finance, and Syndicate for smooth execution.
  • Coordinate client trade settlement and client trade payments.
  • Drive continuous improvement: identify bottlenecks, optimize SLAs, and implement tooling/templates to reduce cycle time and errors.
• Risk, Controls & Regulatory Adherence
  • Ensure adherence to sanctions, suitability, and conflicts management rules; own escalations and exception handling.
  • Support internal audits and regulatory inquiries with complete, timely documentation and process narratives.
  • Monitor relevant regulatory developments (e.g., SEC/FINRA, agency/syndicated loan market practices) to keep procedures current.
• Data, Reporting & Analytics
  • Track pipeline of transfers, cycle times, exceptions, and SLA performance; produce weekly/monthly dashboards and management reporting.
  • Maintain data integrity across systems (deal trackers, document management) and lead remediation when gaps are identified.

Qualifications

• Experience: 5–8 years in legal/transaction support within private equity, fund administration, or a comparable financial services environment. 
• Documentation: Strong familiarity with assignment/novation agreements Private Security Agreements, and sponsor documentation mechanics.
• Technical & Regulatory: Working knowledge of sanctions screening, beneficial ownership, suitability, conflicts, and information barrier protocols.
• Process Excellence: Proven ability to run complex, multi-party workflows with tight deadlines and high accuracy; experience with playbooks and control frameworks.
• Communication: Exceptional written and verbal communication; comfortable negotiating process terms and clarifying legal/operational requirements with senior stakeholders.
• Tools: Proficiency with Microsoft 365 (Excel/SharePoint/Teams), document management systems, and workflow tooling; experience.  DTCC Platforms and Broadridge Operating systems a plus