Our client, a leading private equity firm with over $5B in AUM, is seeking a Compliance Associate to join its compliance team. The Compliance Associate will play an integral role across the firm’s advisory platform, affiliated family offices, and overall corporate compliance infrastructure. The ideal candidate is proactive, detail-oriented, and comfortable operating in a highly collaborative and fast-paced environment. This role offers broad exposure across legal, compliance, investment, and operational functions within a sophisticated and growing platform.
Key Points:
- Broad exposure to SEC-registered investment advisers, private fund structures, and corporate compliance initiatives across both public and private markets
- High visibility role partnering across investment, legal, investor relations, operations, and HR teams
- Opportunity to contribute to process enhancements and best practices as the firm continues to scale
- Collaborative, team-oriented culture grounded in integrity, innovation, teamwork, and ownership
- Strong platform with long-term stability and a track record of infrastructure investment and development across North America
Responsibilities:
- Support key compliance workflows and initiatives, including compliance testing, policy and procedure reviews and updates, and conducting employee compliance training
- Assist with regulatory filings, vendor due diligence, marketing material review, and compliance calendar preparation and tracking
- Partner with departments across the firm to gather information and prepare responses to counterparty AML and KYC requests
- Provide administrative and drafting support for litigation and other legal matters
- Assist in drafting, reviewing, analyzing, and preparing legal agreements, including vendor agreements
- Support compliance program administration, including employee onboarding, Code of Ethics monitoring, pre-clearance processes, and reporting
- Collaborate cross-functionally with investment, legal, investor relations, operations, and human resources teams to uphold firm standards and processes
Qualifications:
- Bachelor’s degree and 3 to 5 years of experience as an in-house compliance generalist, paralegal, or attorney in a related area
- Familiarity with private fund structures, governance frameworks, compliance programs, and regulatory filings
- Highly organized with exceptional attention to detail
- Intellectual curiosity, strong judgment, and a proactive, problem-solving mindset
- Collaborative communication style with confidence interacting with colleagues at all levels
Compensation Expectations: $125-150K base + bonus