Private Equity and Investment Advisory Firm

Senior Associate, Compliance, New York, NY

Senior Associate, Compliance (New York, NY): Our client, a successful private equity and investment advisory firm with over $10B in AUM, is seeking a Senior Compliance Associate to join their New York office. This person will be reporting to the Chief Compliance Officer, assisting in the managing of the firm’s global compliance program and the day-to-day compliance matters.


Key Points:

·       This is a great opportunity for someone who has the ability to work effectively under pressure, in a fast-paced environment, who’s self-motivated, eager to learn and has keen desire to show initiative 


·       Provide written reports detailing the status of monitoring undertaken, any issues identified and recommended remedial actions; ensure that the monitoring/testing program is carried out on a timely basis

·       Assist in the managing of the global compliance program of the firm internationally; assist in the planning and implementing changes to monitoring and changes across the wider business to ensure that the firm continues to meet the requirements of new regulations

·       Work closely with Investor Relations team to ensure compliance with all relevant statutes and regulations as well as marketing review and assist in the development and implementation of compliance policies and frameworks

·       Produce employee training materials and assist in conducting of training sessions; work closely with the trading/operations and investment team on maintenance of the restricted list, resolutions of trading issues and portfolio investment guidelines

·       Facilitate wall crossings across the Information Barrier from initial request to the resumption of normal activities and maintenance and administration of associated systems; manage the firm’s compliance calendar

·       Project management of periodic filings, such as Form PF, Form ADV, Treasury reporting and Annex IV


·       3-7 years of relevant experience in Private Funds/ Asset Management Compliance focused on Credit/Fixed Income; Bachelors degree is required and MBA or JD is strongly preferred

·       Knowledge of trading strategies across a wide range of products and working knowledge of alternative investments; experience in surveillance and regulatory reporting and a solid understanding of SEC rules and regulations, general knowledge of UK/EU regulation would be beneficial but not required

·       This person should also have demonstrable ability to balance a pragmatic, commercial approach to compliance; must be able to work independently and also as part of a dynamic team, with an eagerness to take on new challenges and responsibilities

·       Excellent interpersonal and communication skills both oral and written; exceptional organizational and multitasking ability with strong time management skills

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