Private Equity

Compliance Associate, New York, NY

Compliance Associate (New York, NY): Our client, a private equity firm with over $5B in AUM and offices worldwide, is looking to bring on a motivated and eager to learn compliance professional to join their NYC office.  This new hire will assist and report to the GC/CCO, covering all regulatory and compliance matters. 


Key Points:

  • The firm boasts an impressive track record and has a steady investor base
  • Great quality of life, hours are typically 9-5pm; known for being an extremely generous firm to their employees


  • Manage and track employee personal trading, gifts & entertainment request and political contributions, AML and KYC
  • Monitor and test all policies required under Investment Advisors Act of 1940 and Financial Conduct Authority in the UK
  • Coordinate with Human Resources on matters relating to compliance needs for onboarding new employees and ongoing compliance-related training
  • Maintain the firm’s restricted list and administer quarterly/annual certification process
  • Assist with Form ADV and Form PF filings
  • Assist with special projects and other compliance related tasks


  • 1 – 3 years of compliance experience out of a private equity firm, regulatory body, or asset manager is preferred; JD would be ideal but not required
  • Ability to communicate effectively with all levels of management; strong organizational skills
  • Desire to expand industry knowledge and ability to handle different types of projects; comfortable working in a collaborative, fast paced environment 
  • Proficiency in Microsoft Excel, Word and PowerPoint; skilled in multi-tasking with the ability to adhere to deadlines

Job Reference #1444

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