Private Equity

Legal and Compliance Assistant , New York, NY

Legal and Compliance Assistant (New York, NY): Our client, a thriving private equity firm with over $10 billion in AUM, is looking to bring on an eager and motivated professional to join their team.  This new hire will report to the Chief Compliance Officer supporting all efforts for the compliance program.  The team recently promoted the individual most recently in this position creating the need to bring on additional talent with tremendous potential as the organization plans for future growth.  Of note, this individual will predominantly be handling compliance responsibilities but there is and administrative support component of the position so this individual must have the mentality of “no task too small.”  The administrative aspects of the position are largely expense reporting and calendar management so it is not extensive.   


Key Points:

·       Firm has a tremendous culture of compliance; “the partners have infused the culture with good values”

·       Organization has grown tremendously inspiring the need for this new hire; their most recent fundraise was sizeable and successful

·       Team is cohesive, supportive, ambitious, intelligent, and dedicated to sharing knowledge offering a phenomenal learning platform for this new hire

·       The administrativeportion of the job is low maintenance work and less than 30% of this individual’s time will be spent handling those tasks


·       Coordinate submission of regulatory filings (Form PF, BEA, ADV); assist with scheduling and maintaining training records for training across the firm (attendee lists, dates, times, materials)

·       Compile, distribute and collect quarterly compliance certificates; assist with Code of Ethics administration including: filing incoming personal account statements and reconciliation of personal account statements against internal preclearance records

·       Assist with document production for mock audits and regulatory examinations; develop the firm’s vendor management database

·       Assist with all onboarding processes for new hires and termination processes when needed; manage routine broker dealer filings through the FINRA Gateway system (WebCRD)

·       Manage calendars and phone traffic while coordinating travel itineraries; complete expense reports and draft Word/PowerPoints presentations as needed

·       Manage legal invoices for review and payment; assist with recordkeeping and all corporate maintenance


·       Strong educational background and an interest in learning about legal and compliance functions within the private equity industry are the most important

·       1-4 years of experience in an administrative, paralegal, compliance, IR, or related field capacity will be considered

·       Must have the highest level of discretion for confidential information

·       Demonstrated organizational skills and ability to multitask; strong interpersonal skills and comfortable interacting with all levels of management across the firm

·       Flexible and able to adapt accordingly to meetthe needs of the group; ability to take initiative with a proactive mindset

Job Reference #1367

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