Private Equity

Compliance Assocate, New York, NY

Compliance Associate (New York, NY): Our client, a private equity firm with over $5B in AUM and offices worldwide, is looking to bring on a motivated and eager to learn compliance professional to join their NYC team.  This new hire will be the only fully dedicated compliance professional for the firm’s NYC office and report into the GC/CCO.   Given the nature of this position and visibility to senior management, the firm is seeking a mature, confident, and driven individual to join their compliance team.


Key Points:

·       The firm boasts an impressive track record and has a steady investor base

·       Great quality of life, hours are typically 9-5pm; known for being an extremely generous firm to their employees

·       This hire willhave considerable autonomy as the compliance professional in New York


·       Assist with the development of compliance risk management frameworks and conduct annual reviews and risk assessments (diligence to assess adequacy of internal controls); conduct compliance training for the firm and portfolio companies

·       Develop, review and update all policies required under Investment Advisors Act of 1940 and Financial Conduct Authority in the UK.

·       Coordinate with various groups on matters relating to compliance needs for onboarding new employees and ongoing compliance-related training, privacy matters and cyber security

·       Review marketing materials, quarterly reports, offering documents, and all other documents; assist with ADV and Form PF filings

·       Maintain/monitor policies relating to compliance with gift policy, trading, AML and KYC and political contributions; monitor and test policies and procedures


·       2-5 years of compliance experience out of a private equity firm, regulatory body, or asset manager; experience with the Investment Advisers Act of 1940

·       Ability to communicate effectively with all levels of management; strong organizational skills

·       Desire to expand industry knowledge and ability to handle different types of projects; comfortable working independently with a positive attitude 

Job Reference #1343

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