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Compliance Associate

2 months ago


Austin Texas, United States Vista Equity Partners Management Full time
Job Summary

Vista Equity Partners Management is seeking a highly skilled Compliance Associate to support the Fund Formation Team. The ideal candidate will possess a strong understanding of compliance regulations and procedures, as well as excellent organizational and communication skills.

Key Responsibilities
  • Compliance Support: Provide dedicated support to the Fund Counsels in all areas of fund formation processes, including drafting, updating, and revising Firm policies and procedures.
  • Documentation Management: Spearhead the organization and maintenance of all Vista fund formation and related documentation, including partnership agreements, side letters, formation and ancillary fund documents, placement agent agreements, and transfer agreements.
  • Entity Tracking: Coordinate with the larger Compliance team on maintaining proper entity tracking, including ensuring all relevant fund documentation is uploaded to the side letter/legal document management tool.
  • Marketing Materials Review: Assist with the review of fundraising and other marketing materials, including fund-related materials and presentations used in fundraising, firm events, and conferences.
  • Regulatory Filings: Support the preparation and submission of regulatory filings as needed.
  • Record Keeping: Standardize and maintain proper record keeping of Vista fund and other compliance-related documentation.
  • Investor Pre-Approval: Spearhead the initial investor pre-approval process via online sales tracking platform.
  • Marketing Material Review: Coordinate marketing material review, including fund-related materials, investor requests, and presentations used in fundraising, firm events, and conferences.
  • Investor Transfers: Manage administration of investor transfers.
  • Liaison with Records Management Team: Liaise with records management team to ensure proper tracking of entities.
  • Legal Document Preparation: Prepare initial drafts of form-based legal documents, such as NDAs and AML Letters.
Requirements
  • Bachelor's Degree: A Bachelor's Degree is required.
  • Experience: Prior experience working as a paralegal or associate at a large asset manager is strongly preferred.
  • Skills: Strong organizational, analytical, written, and verbal communication skills are required. Excellent interpersonal skills, client service orientation, and a team-player mindset are also essential.
  • Time Management: Outstanding time management, organization, and prioritization skills are necessary, with the ability to own projects from start to finish with minimal guidance.