Compliance Associate

Compliance Associate (New York, NY): A leading and growing private equity investment firm is seeking a Compliance Associate to join its New York office. The firm manages more than $8 billion in assets. This individual will serve as the primary day-to-day compliance contact for the New York office while working closely with the firm's senior compliance leadership. The role offers broad exposure across the compliance program and significant interaction with investment professionals and other functions across the business.

Highlights:

• Join a highly regarded, growing private equity investment manager with more than $8 billion in AUM


• Serve as the primary compliance contact for the firm's New York office


• Broad exposure across the firm's U.S. and global compliance program


• High level of interaction with investment professionals and senior leadership


• Opportunity to work across a wide variety of compliance matters rather than being siloed into one area


• Growing New York presence with significant opportunity for continued professional development


• Collaborative, entrepreneurial environment with a relatively lean team


• WFH policy: hybrid – 3 days in the office and 2 days from home

Responsibilities:

• Support the execution of the firm's compliance monitoring and testing program


• Manage and maintain the firm's compliance systems and related processes


• Review marketing materials and assist with investor due diligence questionnaires


• Oversee employee compliance matters, including personal trading, gifts and entertainment, and conflicts of interest


• Assist with regulatory filings and other regulatory requirements across applicable jurisdictions


• Maintain the compliance calendar and help coordinate employee training, conflict checks, and other compliance initiatives


• Assist with the development and maintenance of compliance policies and procedures


• Maintain appropriate compliance documentation and books and records

Qualifications:

• 2-6 years of relevant compliance experience within an investment manager, financial institution, law firm, consulting firm, or similar environment


• Experience within private equity, private markets, or alternative investments is preferred but not required


• Strong organizational skills and attention to detail


• Excellent written and verbal communication skills


• Proactive, intellectually curious, and comfortable taking ownership of responsibilities


• Ability to work effectively with colleagues across multiple offices and functions