Private Equity

Attorney & Compliance Associate, New York, NY

Attorney & Compliance Associate (New York, NY): Our client, a successful private equity firm with a long track record, is seeking a talented legal and compliance professional to join their team.  This is a newly created role to help the current team further develop and manage the legal and compliance function.  This new hire will need to be ready to roll up her/his sleeves to learn the inner workings of the firm’s investment philosophy and compliance program and ultimately take the lead on managing/overseeing the entire compliance function.  The firm boasts an impressive track record as well as a positive, helpful, and collaborative work culture. 


Key Points: 

  • Newly created position allowing the new hire to make an impact on the business
  • Firm tends to hire down to earth, levelheaded, intelligent, engaging, and team-oriented individuals
  • New hire will be given the proper support and institutional knowledge to make meaningful contributions to the developmentof the legal and compliance program


  • Work with the firm’s lead attorney in managing the firm’s overall compliance program; spearhead initiatives around new compliance topics
  • Review and approve external communications including marketing materials
  • Prepare regulatory filings (Form ADV and Form PF)
  • Aid the firm in being “exam ready” for any future SEC exams
  • Conduct researchwith respect to compliance and regulatory issues; develop new compliance initiativesAssist the firm’s lead attorney in various legal matters including: drafting and reviewing DDQs and other investor requests; reviewing NDAs, assisting with future fund launches, and other corporate legal matters including fund formation
  • Perform employee training
  • Handle email surveillance, brokerage account review, trade report error review, and compliance system oversight
  • Interact with fund depositary and third-party compliance consultants in particular for annual reviews
  • Work with and overseeoutside counsel on various legal matters


  • J.D. required
  • Candidates with 2-4 years of total experience combining both law firm and in-house experience ideal
  • 3rd/4th year lawyer out of big law with experience working with private equity funds (strongly preferred)
  • Desire to work in a mixed legal and compliance capacity with a strong focus on implementation of a compliance program
  • Individual will need to be comfortable working on a leanly staffed team – taking swings at tasks that may be below their paygrade, and those that are above their paygrade
  • Proactive attitude and ability to integrate oneself into an organization is imperative to the success of this hire
  • Individual should be very detail orientedand take ownership of work product and responsibilities

Job Reference #1558

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