Associate, Central Compliance
4 weeks ago
Job Summary
Vista Equity Partners ("Vista") is seeking to hire a highly accountable and diligent Core Compliance Associate to support Vista's Core Compliance program. Areas of responsibility will include, but are not limited to, (1) internal testing of compliance policies, procedures, and business practices, (2) support of ongoing external compliance consultant reviews, (3) ongoing maintenance of the Firm's compliance risk and control framework, and (4) ongoing support of US regulatory reporting.
Successful candidates will possess a high level of personal accountability, a strong work ethic, strong organizational skills, and the ability to work as a part of a team or individually with limited supervision. This is a highly visible and impactful role that will require excellent communication skills and a professional demeanor. This role is based in Austin, TX.
Responsibilities
* Maintain the Firm's internal compliance testing calendar and coordinate internal compliance testing initiatives with Compliance and other Vista team members.
* Conduct ongoing internal testing to ensure effectiveness and identify areas to improve Vista's relevant policies and procedures.
* Support Vista's 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 Vista business partners.
* Support the Core 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
* Excellent time management, organization, and prioritization skills. Ability to work as a part of a team or individually with limited supervision is highly essential
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