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Senior Compliance Associate
3 months ago
A global private equity firm is looking to add a Senior Compliance Associate to its team due to company growth. This position reports to the Chief Compliance Officer and supports the compliance team in reporting and testing.
**This is a hybrid position with 3-4 days per week on-site in Boston**
Highlights:
- Develop and monitor policies, procedures, and compliance with SEC, NYSE, and other regulations.
- Conduct routine and ad hoc compliance testing, review personal trading activities, and maintain compliance records.
- Assist in developing and conducting compliance trainings, manage due diligence, and oversee recordkeeping.
- Ensure timely regulatory filings, respond to compliance issues, and prepare reports for the board of directors.
- Support the annual compliance program review, manage examination readiness, and communicate risks to the Chief Compliance Officer.
Qualifications:
- 4+ year of related experience in financial services
- Bachelor's degree in Accounting or Finance
- Experience with the 1940 Act
- Strong Excel skills
