Senior Compliance Associate (Marketing/Fund Operations)

  • Location: New York, NY
  • Type: Perm (Contingency)
  • Job #33595
  • Salary: $100,000

Compensation: $100,000 – $150,000 + bonus
Location: New York, NY

Job Overview:
As a Senior Compliance Associate, you will play a crucial role in supporting global marketing activities. Join our high-performing team and contribute to providing essential advice and support for a company's portfolio companies and investment activities.

The Senior Compliance Officer will be responsible for the following:

  • Ensuring compliance with securities laws for the launch and closing of private investment funds
  • Developing policies and procedures for marketing and offering private funds
  • Reviewing marketing materials, RFPs, and DDQs in compliance with securities laws
  • Assisting Sales Operations in conducting operational due diligence meetings
  • Educating marketing personnel on foreign offering rules
  • Coordinating and preparing materials for advisory board meetings
  • Developing policies and procedures required by the Advisors Act for the company's fund management platform
  • Tracking and managing side letter obligations
  • Enhancing the in-house side letter tracking management system
  • Collaborating with attorneys and operations to draft fund documents
  • Managing investment restrictions
  • Coordinating with outside counsel for regular fund filings (e.g., Form D)
  • Assisting in managing updates to Form ADV
  • Conducting research and stay updated on investment fund compliance and regulatory landscape
  • Collaborating with internal teams to ensure compliance with regulatory requirements

To be considered for the Associate in Compliance role, you should have:

  • 2-5 years of experience within an investment management firm or law firm supporting private funds
  • Strong knowledge of investment fund compliance and the regulatory landscape
  • Experience working with private equity, hedge fund, and real estate investment private funds
  • Ability to manage multiple tasks/projects with competing deadlines
  • Highly organized, resourceful team player with impeccable attention to detail
  • Exceptional research, analytical, communication, and writing skills
  • B.A. or B.S. with an excellent academic record
  • J.D. preferred 


  • Comprehensive benefits package
  • Opportunities for professional development and advancement
  • Collaborative and dynamic work environment

Application Note: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, we will keep your resume on file for future opportunities and may contact you for further discussion.

Job Status Markers: #LI-DNP | #LI-Onsite

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Job ID: 33595