Opportunities

 

Private Equity

Compliance Analyst/Legal Analyst, New York, NY

Compliance Analyst/Associate or Legal and Compliance Analyst - title is flexible (New York, NY): Our client, a leading private equity fund with over $8b in AUM, is seeking a talented Compliance Analyst to join their team. This position will report to the Chief Compliance Officer and Associate General Counsel. 
 

Key Points:

  • This is an excellent opportunity for an individual to learn and train under tremendous mentors
  • New hire will gain access to all aspects of the firm’s legal and compliance program
  • Firm is doing very well – they closed on a new fund recently and are just starting to deploy new capital 
  • Firm offers great benefits and a good quality of life  

Responsibilities:

  • Update the Compliance manual and other policies and procedures; participate in compliance training for new employees
  • Draft and complete regulatory filings (Form ADV, Form PF, Forms 13d/g/f); monitor compliance documentation and record-keeping
  • Conduct cybersecurity risk assessments and testing; handle legal matters in connection with mergers and acquisitions and portfolio companies 
  • Maintain and log key portfolio company information and key legal documents; input changes to legal agreements for review
  • Complete KYC and basic information requests from third parties; provide oversight in: pre-clearance and monitoring of personal trading and political contributions, confidentiality agreement and information barrier monitoring, and interface with Finance and Accounting regarding expense allocation policies, procedures and records 

Qualifications:

  • Self-starter with 2+ years of compliance, legal or paralegal experience, with a desire to learn Private Equity and an interest in learning about SEC compliance; Bachelor’s degree with strong academic record (min GPA of 3.3)
  • Excellent written and proof-reading skills; proven organizational and time-management skills with the ability to handle diverse projects in a fast-paced work environment

Job Reference #1711

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