Compliance Associate

New York, NY

Job Reference #1931

 Our client, a private equity firm that has raised over $17B since inception, is looking to bring on a motivated and eager associate to join their NYC office.  This new hire will assist and report to the CCO, covering all regulatory and compliance matters. 

Key Points:

  • Newly created position within the compliance team
  • Great quality of life, hours are typically 9-5pm
  • Firm has grown considerably in the past few years

Responsibilities:

  • Manage and track employee personal trading, gifts & entertainment request and political contributions, AML and KYC
  • Monitor and test all policies required under Investment Advisors Act of 1940
  • Maintain the firm’s restricted list and trading processes
  • Assist with Form ADV and Form PF filings
  • Assist with special projects and other compliance related tasks

Qualifications:

  • 2 – 3 years of compliance experience out of a private equity firm, regulatory body, or asset manager is preferred
  • Knowledge or familiarity with ComplySci software is preferred
  • Ability to communicate effectively with all levels of management; strong organizational skills
  • Desire to expand industry knowledge and ability to handle different types of projects; comfortable working in a collaborative, fast paced environment 
  • Comfortable working in a fast-paced environment, with a keen sense of prioritizing workload and time sensitive projects; strong attention to detail and organizational skills 
  • Previous experience handling confidential and sensitive information; must be motivated, self-driven and proactive
  • Enthusiasm for learning and growing as a compliance professional
  • Proficiency in Microsoft Excel, Word and PowerPoint; skilled in multi-tasking with the ability to adhere to deadlines