Private Equity and Investment Advisory Firm

Compliance Analyst, New York, NY

Compliance Analyst (New York, NY): Our client, a successful private equity and investment advisory firm with over $30B 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.  Specifically, this role will get exposure to a wide spectrum of compliance areas and issues, as well as work closely with various support groups.  This person will be expected to: assist in the compliance monitoring and testing program; assist the Compliance Director in executing the firm’s annual compliance review and monthly compliance reports; administer the firm’s global automated compliance system for personal trade, outside business interest and political donations; facilitate wall crossings; assist in on-boarding new hires and maintain training logs; and assist the Compliance Director with regulatory filings such as Form ADV 1, 2a, 2b and Form PF.   S/he will also organize and maintain all compliance files and records including approval of marketing materials, investor categorization records and the breaches log; undertake KYC and anti-bribery corruption and sanction checks on M&A transactions; assist in the administration of various hedging reporting and disclosure requirements in the U.S.; and implement new compliance procedures, while developing policies and systems for firm-wide administration of compliance issues.  The ideal candidate will have a degree preferably in law, finance or business with previous experience in legal, risk, or compliance.  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.
·         Firm is growing, stable, and entrepreneurial 

·         There is not a ton of structure in compliance around a lot of things because they are building this team so this is ideal for someone who is comfortable in a “roll up your sleeves” environment

·         Ideal role for someone who wants to build and develop things and work in a lean team with a ton of visibility

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