Private Equity

Compliance Analyst, New York, NY

Compliance Analyst (New York, NY): Our client, a thriving private equity firm with over $12 billion in AUM, is looking to bring on an eager and motivated compliance professional to join their team.  This new hire will report to the Chief Compliance Officer supporting all efforts for the compliance program.  Of note, this individual will predominantly be handling compliance responsibilities along with providing support to the Operations team with reporting duties. This role has a level of administrative tasks, where a “no task too small mindset” would be appreciated. 

Key Points: 

  • Firm has a tremendous culture of compliance; “the partners have infused the culture with good values”
  • Organization has grown tremendously inspiring the need for this new hire; their most recent fundraise was sizeable and successful
  • Team is cohesive, supportive, ambitious, intelligent, and dedicated to sharing knowledge offering a phenomenal learning platformfor this new hire


  • Coordinate and overtime, become responsible for the submission of regulatory filings (Form ADV, BEA, ADV); assist with scheduling and maintaining training records for training across the firm (attendee lists, dates, times, materials)
  • Compile, distribute and collect quarterly compliance certificates; manage Code of Ethics administration including: filing incoming personal account statements and reconciliation of personal account statements against internal preclearance records
  • Assist with document production for mock audits and regulatory examinations; develop the firm’s vendor management database
  • Implement and lead a project to automate broker feeds to the Compliance Science platform; manage routine broker dealer filings (FINRA, California Lobbying, FINCEN)
  • Support debt trading activity and Best Execution reporting (onboarding debt trading entities with approved Brokers, maintaining trading records and opening custody accounts)
  • Provide support with the filing and maintenance of legal and compliance documents (legal entity and structure charts)


  • 3 – 5 years of experience in a supportive, paralegal, compliance, legal administrative, or related field capacity will be considered; familiarity with Code of Ethics Administration and regulatory filings at a registered investment advisor is required
  • Strong educational background and an interest in learning about legal and compliance functions within the private equity industry are the most important
  • Must have the highest level of discretion for confidential information
  • Demonstrated organizational skills and ability to multitask; strong interpersonal skills and comfortable interacting with all levels of management across the firm
  • Flexible and able to adapt accordingly to meet the needs of the group; ability to take initiative with a proactive mindset

Job Reference #1572

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