Compliance Associate
4 weeks ago
Compliance Professional (New York, NY): Our client, a prominent private equity and private credit fund with over $100B in AUM, is looking for a driven Compliance Professional to join their dynamic, collaborative team. This is a newly created opportunity to report into the Chief Compliance Officer (Americas) and work alongside top talent globally. The new hire will primarily focus on the needs of the credit compliance team, and have exposure and opportunity across the global compliance team and all platforms.
Key Points:
- CCO is incredible – intelligent, KIND, sharp, thoughtful, openminded, and creates an environment where new ideas are welcome
- Newly created opportunity allowing the firm to flex the role up or down to meet the best talent where they are in their career
- Exceptional reputation in the industry – this new hire will have the chance to work for a top performing shop with diverse product offerings
Responsibilities:
- Primarily focused on day-to-day management of incoming investment team requests such as wall crosses, trade requests, conflict checks, ad other time sensitive items.
- Support the internal compliance testing and surveillance program, as well as prepare regulatory reports and testing documentation.
- Acquire a comprehensive understanding of the SEC Marketing Rule and assist in reviewing marketing materials, social media, and investor relations materials.
- Identify, escalate, and address conflicts of interest across groups at both regional and global levels.
- Timely and accurate submission of SEC regulatory filings (ADV and Form PF).
- Help draft policies and procedures while designing new compliance initiatives as the compliance landscape and business evolve.
- Prepare for and address regulatory inquiries and examinations, as well as conduct ongoing compliance training for both employees and new hires.
Qualifications:
- Bachelor's degree and 3-5+ years background in regulatory compliance.
- Private credit knowledge strongly preferred.
- Previous in-house experience with a private fund investment adviser is preferred.
- Solid grasp of US regulatory requirements pertinent to private fund management.
- Results-driven with a strong emphasis on meeting time-sensitive obligations and ability to multi-task between time sensitive tasks.
- Proficient in problem-solving and capable of handling multiple tasks at once while performing effectively under pressure.
- Self-driven and eager to collaborate in a team environment across various office
- Take initiative, embrace responsibility, and manage their own time.
Compensation: $150- $200K all-in
Job Reference #1964
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