Job Overview – Compliance Associate (Hybrid):
Step into a key role with our private equity client as a Compliance Associate in Cleveland, OH. This hybrid position partners with the General Counsel/Chief Compliance Officer to uphold regulatory standards and strengthen compliance processes. You’ll lead critical initiatives, including monitoring compliance policies, performing risk assessments, and handling regulatory filings, all while collaborating with cross-functional teams and external providers.
Compensation: $100,000 – $110,000/year + bonus
Location: Cleveland, OH
Schedule: Monday to Friday (Hybrid)
Responsibilities as the Compliance Associate:
- Policy Oversight: Regularly review, update, and ensure compliance with policies mandated under the Investment Advisors Act of 1940.
- Risk Analysis: Contribute to the development of compliance risk frameworks, conducting internal reviews, risk assessments, and control evaluations.
- Regulatory Reporting: Oversee the preparation and submission of critical filings, such as ADV and Form PF, while ensuring all compliance documentation is accurate.
- Training Programs: Design and facilitate compliance training sessions to educate staff and portfolio companies on essential policies and procedures.
- Cross-Department Collaboration: Coordinate with HR for compliance training during onboarding and partner with IT to address privacy and cybersecurity requirements.
- Monitoring Systems: Manage and maintain policies related to gifts, trading, AML/KYC, and political contributions, leveraging specialized compliance tools.
Qualifications for the Compliance Associate:
- Education: Bachelor’s degree in Business, Finance, Law, or a related discipline.
- Experience: 2-4 years of Compliance Experience in Investment Advising, Hedge Funds, Private Equity, Asset Management, or Consulting.
- Skills: Excels in collaboration and communication, with a keen eye for detail, strong organizational skills, and the ability to juggle multiple tasks effectively.
- Attributes: Upholds the highest levels of integrity and professionalism, with a proactive attitude and a dedication to continuous improvement.
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.