Compliance Officer

2 weeks ago


Pennsylvania, United States Fernridge Group Full time

Compliance Associate: Fernridge Group is seeking a dedicated compliance professional to join their dynamic compliance team. This role offers a unique opportunity to collaborate closely with senior compliance leadership and contribute to the firm's comprehensive compliance framework.

Key Highlights:

  • Join a reputable and expanding private equity firm known for its strong performance and international reach.
  • The successful candidate will work under the guidance of experienced compliance executives who are committed to mentoring and developing talent.
  • Fernridge Group fosters a culture of innovation and teamwork, emphasizing a flat organizational structure and ongoing professional growth.

Core Responsibilities:

  • Manage the compliance and ethical standards program, including oversight of systems related to employee trading, political contributions, and reporting of gifts and business entertainment.
  • Conduct compliance audits and monitor communications; ensure thorough documentation of findings.
  • Supervise external service providers conducting AML, KYC, and sanctions evaluations for potential clients and investments.
  • Assist with regulatory submissions such as Form PF, Form D, BEA filings, and NFA affirmations.
  • Prepare and address periodic inquiries from investors, including due diligence questionnaires and other required certifications.

Required Qualifications:

  • A minimum of 2 years of relevant compliance experience within a private equity or venture capital environment is preferred, though candidates from similar financial sectors (hedge funds, asset management, registered investment advisors, compliance consulting) will be considered.
  • Knowledge of relevant laws, regulations, and compliance standards for investment advisors, including the Investment Advisers Act of 1940 and insider trading regulations.
  • Strong attention to detail and exceptional organizational abilities; adept at managing multiple priorities effectively.
  • A collaborative team player with a proactive approach to new initiatives; must exhibit professionalism and a long-term commitment to compliance excellence.


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