Compliance Officer
About the role
Title: Compliance Associate/Compliance Officer
Firm: $10B+ private equity firm
Location: New York,NY
Compensation Range: $145k - $170k base plus year end bonus
Job Overview: Our client, a leading private equity firm with over $8B+ in AUM, is seeking a dedicated Compliance Associate/Compliance Officer to join their team. This hire will assist with all matters of regulation and compliance at the firm and directly reports to the Chief Compliance Officer.
Highlights:
Newly created opportunity to work as a compliance generalist due to high firm performance and company growth
Firm is committed to responsible investing, which reflects its dedication to ethical business practices and positive societal impact
Hybrid work schedule, excellent benefits/perks, and competitive compensation
Responsibilities
Assist with regulatory filings including Form ADV and Form PF.
Help to develop compliance risk management frameworks and conduct annual reviews and risk assessments.
Prepare and conduct compliance training for firm and portfolio companies.
Maintain and monitor policies (and related software) relating to compliance with gift policy, trading, and AML/KYC.
Review marketing materials to ensure compliance with SEC filings.
Handle ad-hoc compliance related projects, as assigned by CCO.
Requirements
Bachelor’s degree and 4+ years of compliance or related work experience, preferably in the investment management space (hedge or private equity)
Ability to work in a fast paced, collaborative, team environment
Capability to multi-task and adhere to deadlines
Effective business writing and verbal communication skills
Compensation
This Legal role pays $145k-$170k/yr. Within typical range for legal roles in United States.
Questions about this role
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