Compliance Associate

4 weeks ago

Fort Worth, United States TPG Full time

About TPG

TPG is a leading global alternative asset firm with a long history of investing in growth, change, and innovation. Founded in San Francisco in 1992, the firm now manages more than $229 billion with investment and operations teams around the world. TPG invests across a broadly diversified set of strategies including private equity, impact, credit, real estate and market solutions, and our unique strategy is driven by collaboration, innovation, and inclusion. Our teams combine deep product and sector experience with broad capabilities and expertise to develop differentiated insights and add value for our fund investors, portfolio companies, management teams, and communities.


Responsibilities

TPG has an exciting opportunity for an Associate to join its Compliance team in the Fort Worth office to work with the Compliance Team to design and implement compliance policies, procedures, and systems to ensure that TPG and its respective platforms fulfill their legal and regulatory obligations and meet the firm’s high compliance standards. The role requires regular interaction with business, finance, operations, legal, and compliance personnel across the firm.


Requirements:

  • 2+ years of professional compliance experience within financial services
  • Ability to work well in a team environment
  • Strong written and verbal communications skills
  • Attention to detail and problem-solving skills and the ability to handle tasks independently
  • Familiarity with the Advisers Act and FINRA rules preferred


Responsibilities may include:

  • Administer employee Code of Ethics utilizing regulatory compliance software (personal accounts, certifications)
  • Review and process personal trading, private investment, outside business activity, and gifts and entertainment requests
  • Evaluate charitable contributions made by the firm
  • Monitor trading activity for compliance with policies and monitor for unusual activity
  • Develop, update, and implement compliance policies and procedures
  • Support and execute testing of policies and procedures
  • Identify, escalate, and manage potential conflicts of interests across business platforms
  • Develop and conduct employee training and administer electronic training tool
  • Conduct electronic communications surveillance
  • Review marketing materials/investor communications
  • Support regulatory reporting needs (ADV, PF, AIFMD, BEA, TIC)
  • Expert network call administration and monitoring
  • Execute compliance screenings and monitoring of potential vendors, portfolio companies, investors and other counterparties
  • Review and assess regulatory changes that potentially impact TPG’s business

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