Private Equity

Compliance Officer, New York, NY

Compliance Officer (New York, NY): Our client a growing Private Equity firm with north of $30b in assets, is seeking a bright compliance professional to join their NY office. This person will be reporting to the Chief Compliance Officer, offering support with execution of the firm’s compliance program. 

Key Points:

  • Firm has a tremendous track record and strong global presence
  • Opportunity to work directly under the CCO who is excited to mentor, train, and grow this person to handle all aspects of compliance
  • The company promotes an entrepreneurial and collaborative culture
  • Opportunity for development across all areas of the business and to support the wider firm as they continue to grow their US presence   
  • Join a flat organizationthat is invested in the growth and continuous development of their employees


  • Monitor the firm’s compliance policies and procedures, compliance manual and fund agreements such as LPAs and side letters; maintain compliance monitoring and reporting systems (gifts & entertainment, restricted trading list and certifications)
  • Assist with and oversee service providers performing AML, KYC and sanction checks on potential clients; assist with annual compliance review and compliance testing 
  • Review legal fund agreements, PPMs, side letters and LPAs and ensure they are met to regulatory standards
  • Draft and maintain manuals and policies and procedures; review marketing material and investor communication
  • Provide support with migrating and integrating new business to the firm’s compliance program; assist with responding to regulatory inquiries and exams
  • Support the Investor Relations and Fund Development team’s compliance with marketing and lobbying regulation; support private fund secondary transfers


  • At least 3 years of relevant compliance experience within investment management or financial services with a primary focus on Investment Advisers Act and private fund compliance; bachelors degree required and prior legal or paralegal training is preferred 
  • Superior verbal and written communication skills with the ability to build and foster internal relationships; strong attention to detail and comfortable working within a fast-paced working environment 
  • Ability to identify and provide sound advice to issues as they arise; effectively meet simultaneous deadlines
  • Self-starter who takes ownership for one’s work

Job Reference #1547

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