Job Overview – Compliance Associate (Private Equity):
Join our client as a Compliance Associate in New York, NY. This hybrid role works closely with the General Counsel/Chief Compliance Officer to ensure the firm’s adherence to regulatory requirements and compliance processes. You’ll manage various aspects of compliance, including monitoring policies, conducting risk assessments, and preparing regulatory filings while collaborating with internal teams and external service providers.
Compensation: $100,000 – $110,000/year + bonus
Location: New York, NY
Schedule: Monday to Friday (Hybrid)
Responsibilities as the Compliance Associate:
- Policy Development: Review, update, and monitor compliance policies and procedures required under the Investment Advisors Act of 1940.
- Risk Management: Assist in developing compliance risk frameworks and conducting annual reviews, risk assessments, and internal control evaluations.
- Regulatory Filings: Prepare ADV and Form PF filings and ensure timely submission of compliance reports.
- Compliance Training: Develop and deliver compliance training for the firm and portfolio companies, ensuring understanding of key policies and procedures.
- Interdepartmental Coordination: Work with HR on onboarding and ongoing compliance-related training, and with IT on privacy and cybersecurity matters.
- Monitoring & Maintenance: Maintain and oversee policies related to gifts, trading, AML/KYC, and political contributions, utilizing related software tools.
Qualifications for the Compliance Associate:
- Education: Bachelor’s degree in Business, Finance, Law, or a related field.
- Experience: 2-4 years of Investment Advisor Generalist Compliance experience within hedge funds, private equity, asset management, or compliance consulting.
- Skills: Demonstrates exceptional interpersonal and collaborative abilities, with strong organizational, multitasking, and analytical skills.
- Attributes: Maintains a high degree of integrity and discretion, with a professional demeanor, punctuality, and a commitment to continuous learning and development.
Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.