Private Equity

Compliance Associate, New York, NY

Compliance Associate (New York, NY): Our client, a successful and interesting private equity firm with over $15B in AUM, is looking to bring on a motivated compliance professional to join their NYC team.  This is an opportunity to join a lively team of two bright individuals and assist across all aspects of their program.  The firm has a tremendous reputation in the industry and boasts one of the most generous benefits packages including unlimited vacation days!   


Key Points:

  • Individual will have the chance to take on more and more responsibilities as they gain familiarity with the firm, the compliance department, and have a strong handle on their day to day work
  • Organization has a TON of perks – we’ve visited hundreds of offices and this is amongst the nicest: full gym with Peloton bikes, yoga/barre/meditation classes, free lunch daily, nursing room, and other amazing benefits
  • Working on a fun team of two – the two hiring managers are engaging, personable, funny, and dedicated to finding a long-term hire


  • Coordinate with the firm’s deal team on compliance matters as it relates to investment activities (ESG due diligence, background checks)
  • Prepare regulatory filings (Form ADV, Form PF, 13F, 13G, BE-185); maintain/update the firm’s compliance calendar
  • Manage compliance and Code of Ethics program (political contributions, gifts and entertainment, employee personal trading)
  • Administer the firm’s Environmental, Social and Governance (ESG) program
  • Perform email surveillance, compliance testing and document testing results
  • Create and respond to investor reports, certifications, requests and due diligence questionnaires


  • Related years of compliance experience with a private equity or venture capital firm is strongly preferred but will consider similar financial institutions
  • Familiarity with applicable law, rules, and regulations for investment advisers (Investment Advisors Act of 1940, “Pay-to-Play” rules, insider trading laws etc.)
  • Exceptional attention to detail and organizational skills; comfortable working efficiently and effectively on multiple deadlines
  • Team player, with the ability to take initiative on new projects; must have a professional demeanor with a long-term interest in compliance

Job Reference #1431

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