Compliance Associate

2 weeks ago


austin, United States Fernridge Group Full time

Title: Compliance Associate

Firm: $100B+ alternative investment management fund

Location: Austin, TX

Compensation Range: $130k - $150k base plus bonus


FIRM IS OPEN TO PAYING FOR RELOCATION TO AUSTIN, TX


Job Overview: Our client, a leading global investment firm, is seeking a highly accountable and diligent Compliance Associate to support the firm's Core Compliance program. The successful candidate will be directly reporting to the Director of Compliance.


Highlights:


  • Opportunity to join a leading private equity/hedge fund with a tremendous track record and global experience
  • True generalist position with a manager that encourages learning opportunities
  • Firm's investments are anchored by a sizable long-term capital base and flexible management techniques that drive growth
  • Senior management encourages growth and fosters the expectation that this person will feel comfortable working across the business and interacting with a variety of groups
  • Firm believes in the power of technology, innovation, ESG, and diversity


Key Responsibilities:


  • Maintain the Firm’s internal compliance testing calendar and coordinate internal compliance testing initiatives with Compliance and other team members
  • Conduct ongoing internal testing to ensure effectiveness and identify areas to improve the firm's relevant policies and procedures
  • Support the Marketing team in the review and approval of public-facing marketing materials and social media activity
  • Support ongoing external reviews conducted in conjunction with external compliance consultants; attend and provide thoughtful contributions to associated interviews with various business partners
  • Support the Compliance Director with US regulatory filings (ADV, 13F, Form PF, CFTC)
  • Perform ongoing upkeep of the Firm’s compliance risk and control matrix and regulatory readiness database
  • Coordinate ongoing Compliance Manual and related policy and procedure updates with the Compliance team and other stakeholders


Qualifications:

  • Bachelor’s Degree
  • Minimum of 3 years of regulatory compliance experience at a registered investment adviser, regulator, or compliance consulting firm required
  • Working knowledge of compliance testing, US regulatory filings, SEC Rule 206(4)-7, and SEC marketing rules is highly desired
  • Ability to work in a fast-paced and dynamic environment with changing requirements
  • Strong organizational, analytical, written, and verbal communication skills
  • Excellent interpersonal skills and client service orientation


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