Private Equity

Compliance Associate, New York, NY

Compliance Associate (New York, NY): Our client, a multi-billion-dollar private equity firm, is seeking a bright and motivated compliance professional to join their growing and successful team. The candidate of choice will report directly to the Chief Compliance Officer and have the ability to take on larger projects and responsibilities over time.


Key Points:

  • Firm is stable and the organization has continued to grow 
  • CCO is extremely bright, KIND, and will be a tremendous mentor 
  • Team is fantastic – cohesive, collegial, collaborative, and vested in the overall group’s success 


  • Prepare regulatory filings and reporting (Form ADV, Form PF, Form 13F, Section 16, AIFMD and filings related to the firm’s various foreign offices); provide support with the implementation of the firm’s and its affiliates’ code of ethics, compliance policies and procedures 
  • Participate in annual compliance reviews (and ongoing risk assessment); assist with compliance monitoring, eventually taking on the oversight of the firm’s compliance monitoring program
  • Assist in the preparation and response to regulatory examinations or inquiries; review marketing presentations and other client/prospect communications
  • Keep apprised of existing and new regulations while evaluating potential impact on the firm; support compliance initiatives with various FINRA regulation related to the firm’s broker/dealer affiliates
  • Manage ad-hoc and day-to-day requests from the business and operations teams; support the firm’s legal team as needed


  • At least 3 years of relevant compliance experience, preferably from another asset management firm; bachelors degree required
  • Working knowledge of the Investment Advisers Act; prior private equity experience, with an understanding of FINRA rules, the Investment Company Act of 1940 and AIFMD is preferred
  • Strong analytical capabilities, with excellent communication and drafting skills; acute attention to detail
  • Demonstrated ability to identify and analyze regulatory, compliance and legal issues; comfortable working and excelling in a fast-paced and rapidly changing business environment is a must
  • Has or is willing to acquire Series 7 license

Job Reference #1652

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