Private Equity

Compliance Associate, New York, NY

Compliance Associate (New York, NY): Our client a tremendous private equity focused investment firm with north of $8 billion in AUM is looking to bring on an eager and well-rounded compliance professional to join their team.


Key Points:

·      The firm boasts a true team environment, with fun group activities outside of the office, free meals and a positive work place

·      Hours are flexible with the ability to create a schedule that fits your personal life

·       GC/CCO is positive, personable, and will allow this hire to take on as much as possible across compliance


·      Review personal trading statements and approvals of pre-clearance requests and maintenance of the restricted list; update the Compliance Manual addressing evolving business risks and regulatory pronouncements

·      Maintain and execute detailed compliance calendars and assist with the Firm’s annual compliance review; prepare Form ADV and PF and other regulatory reports, including European filings

·      Respond to AML and KYC requests in a broad variety of contexts; assist with onboarding and training new employees on compliance requirements

·      Monitor expert network usage and, occasionally chaperone calls with experts; review gifts and entertainment and political contribution reporting requirements


·      4-5 years of relevant experience in a similar capacity within a private equity firm or other related investment advisor; collaborative and enthusiastic attitude

·      Proficient in Microsoft Office suite is required; excellent interpersonal and communication skills

·       Demonstrated abilityto prioritize and execute a variety of tasks efficiently; experience using Compliance Science is preferred but not required

Job Reference #1352

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