International Private Equity

Compliance Analyst , New York, NY

Compliance Analyst (New York, NY):Our client, an international private equity firm with over $50B in AUM, has a newly created role for a Compliance Analyst to join their New York office.  This is a great opportunity for a motivated, independent, and meticulous compliance professional to learn from a top tier firm in a team environment.  As the second person to join the firm’s NYC office, the Compliance Analyst will gain tremendous exposure to all aspects of the program.  Specially, this individual will be responsible for administering and testing key compliance procedures including: administering the code of ethics for personal trades, gifts, and outside business interests; assisting with the compliance monitoring program for annual US compliance reviews; working with FINRA to assist with registrations, training, and on-boarding new hires; facilitating wall crossings and maintenance and administration of systems used to restrict staff trading in the control room; overseeing filings, recording keeping, deal KYC, M&A transactions, regulatory US filings including Form ADV 1, 2a, 2b, and PF filings; as well as working within group projects assigned by the Head of Compliance to assist in developing policies and implementing new procedures. The ideal candidate will have a degree in law, business, or finance, at least internship or up to 3 years of previous experience in compliance, legal, or risk.  A strong understanding of investment banking and alternative investment products, as well as a general knowledge of conflict of interest is preferred. Experience with private equity or investment banking, control room experience, and ability to speak other languages preferred.  

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