Private Equity Fund

Compliance Analyst/Paralegal, New York, NY

Compliance Analyst/Paralegal (New York, NY): Our client, a leading private equity fund with over $8b in AUM, is seeking a talented Compliance Analyst/Paralegal to join their team. This position will report to the Chief Compliance Officer and Associate General Counsel. This is an excellent opportunity for an individual to learn and train under tremendous mentors and gain access to all aspects of the firm’s legal and compliance program. Specifically, the individual will be responsible for updating the Compliance manual and other policies and procedures; participating in compliance training for new employees; drafting and completion of regulatory filings (Form ADV, Form PF, Forms 13d/g/f); monitoring compliance documentation and record-keeping; conducting cybersecurity risk assessments and testing; and handling legal matters in connection with mergers and acquisitions and portfolio companies. S/he will also be maintaining and logging key portfolio company information and key legal documents; inputting changes to legal agreements for review; completing KYC and basic information requests from third parties; and finally providing oversight in: pre-clearance and monitoring of personal trading and political contributions, confidentiality agreement and information barrier monitoring, and interfacing with Finance and Accounting regarding expense allocation policies, procedures and records. The ideal candidate will be a self-starter with 2+ years of compliance, legal or paralegal experience, with a desire to learn Private Equity and an interest in learning about SEC compliance; Bachelor’s degree with strong academic record (min GPA of 3.3); excellent written and proof-reading skills; proven organizational and time-management skills with the ability to handle diverse projects in a fast-paced work environment. 

  • Position will offer exposure to all areas of legal and compliance 
  • Firm is doing very well – they closed on a new fund recently and are just starting to deploy new capital 
  • Firm offers great benefits and a good quality of life 
  • Both the CCO and Associate General Counsel will be great mentors to this person 
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