Opportunities

 

Private Equity

Compliance Associate, Greenwich, CT

Compliance Associate (Greenwich, CT): Our client, a growing private equity firm is eager to bring on an experienced compliance professional to join their team. This person will work closely with and report into the Chief Compliance Officer, supporting all regulatory compliance efforts.

 

Key Points:

  • Firm is actively and continuously fundraising and launching new products
  • CCO is eager to mentor and there is no limit on professional growth
  • Opportunity to take ownership over the entire program and act as a true generalist
  • Culture is friendly, collegial, and offers strong work/life balance

Responsibilities:

  • Assist with preparing and filing Form ADV, Form PF & other periodic filings; coordinate quarterly/annual reporting of personal securities transactions
  • Liaise with Business Records Analyst to administer the Compliance Science compliance support application; maintain compliance policies and procedures
  • Perform annual compliance reviews and executing testing programs; assist with reviewing marketing materials and proper recordkeeping
  • Oversee process for new employee training, develop and implement said training programs; stay up-to-date with regulatory developments and changes by attending compliance seminars and workshops
  • Coordinate with various groups across the firm to assist with periodic GMIMCo reporting and ad hoc initiatives; review marketing materials, legal contracts, and cover other legal responsibilities as needed

Qualifications:

  • 4-7 years of relevant compliance experience from a registered investment advisory firm; bachelors degree from a reputable university
  • Excellent writing and communication skills; strong proficiency in Microsoft Office
  • Familiarity of regulatory areas and regulations is a plus; comfortable communicating efficiently with all levels of personnel

Job Reference #1408

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