Compliance Associate 

Remote – PST, MST, or CST time zone only

Job Reference #1948

Our client, a leading global investment firm with $40 billion in assets, seeks a skilled compliance professional to join its Legal and Compliance team and help oversee the firm’s compliance program.  Joining an incredible team (we LOVE them!) that fosters team camaraderie, this is an excellent role for a Code of Ethics professional to belong to a successful private equity fund.

Key Points:

  • Full accountability for the daily management of the firm’s Code of Ethics program and software.
  • Opportunity for the role to expand over time beyond its initial daily responsibilities.
  • Tremendous team – the group is bright, KIND, intelligent, inclusive and loyal
  • Complete flexibility to work fully remote.

Responsibilities:

  • Act as the main liaison for the firm’s Code of Ethics policies and manage all facets of the firm’s online Code of Ethics platform.
  • Oversee the creation, distribution, and assessment of regular compliance certifications for both new hires and existing staff.
  • Oversee employee adherence to the firm’s Code of Ethics policies and review pre-clearance requests and disclosures.
  • Aid in the upkeep of the company’s Code of Ethics policies, procedures, and training materials.
  • Assist with new employee onboarding related to compliance matters, including conducting training.
  • Manage the records and documentation related to the Firm’s Code of Ethics, including maintaining the restricted list and logs of policy violations or exceptions.
  • Support additional compliance-related duties as required.

Qualifications:

  • Bachelor’s degree with 2-4 years of relevant regulatory compliance experience within an SEC-registered investment adviser organization, compliance consultant or a law firm.
  • Familiarity with the SEC’s Code of Ethics Rule; acquaintance with the Investment Advisers Act of 1940 advantageous.
  • Exceptional professionalism; discretion in safeguarding confidential information; strong problem-solving and decision-making abilities.
  • Outstanding organizational skills and meticulous attention to detail.
  • Resourceful and capable of working independently; open to undertaking tasks of various scopes.

Compensation: $110-140K base; $130-160K all-in