Private Equity

Compliance Officer, Regulatory Marketing, New York, NY

Compliance Officer, Regulatory Marketing (New York, NY): Our client a growing Private Equity firm with north of $40b in assets, is seeking a bright compliance professional to join their NY office. This person will oversee the firm’s marketing and investor communication activities, while assisting all legal and compliance matters as it relates to 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 
  • The company promotes an entrepreneurial and collaborative culture; they value a flat structure and continuous development of their employees  
  • Opportunity for development across multiple areas of compliance while continuing to own and run marketing review 


  • Review marketing materials, due diligence responses, investor communications, and other fundraising and reporting-related materials across diverse investment strategies
  • Assist with annual compliance review and compliance testing as it relates to marketing and other associated matters
  • Draft and maintain the firm’s compliance manuals, policies and procedures and regulatory guidance with respect to marketing and other compliance matters
  • Provide support in the responses to regulatory inquiries and examinations
  • Develop educational materials and conduct trainings with respect to marketing and fundraising regulations and protocols


  • At least 5 years of relevant compliance experience within investment management or financial services, with a primary focus on private fund compliance, including marketing rules and review of materials for US and global audiences; bachelors degree required (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 with many concurrent deadlines
  • 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; possess a curious and idea-driven mindset who is eager to learn

Job Reference #1710

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