Senior Compliance Associate

Our client, a longstanding and successful private equity firm with over $50B in AUM, is seeking to hire a Senior Compliance Associate. Collaborating with leadership and overseeing day-to-day aspects of the compliance program, this new hire will also take initiative on larger scale projects and initiatives. Seated in a newly upleveled capacity, the Senior Associate will have a highly visible and impactful role on the continued growth of the firm and its compliance practice.

• Exceptional opportunity to work in a generalist capacity across the entirety of the compliance program
• Hiring manager is wonderful – down to earth, smart, loyal, and has a ton of institutional knowledge
• High visibility position working within a dynamic team and interacting consistently with senior leadership
• Firm is well respected and established in the industry and is still expanding
• Organization is established, steadily growing, and has a tremendous track record

• Administer and test the firm’s compliance and code of ethics program, including personal trading, political contributions, and gifts and entertainment
• Prepare regulatory filings (e.g., ADV, Form PF, 13F)
• Support responses to investor inquiries, including due diligence questionnaires and other certifications
• Liaise with external investor KYC provider; work with IR team and investors as needed
• Lead several initiatives on cybersecurity (e.g., phishing testing, communications archiving)
• Review conflicts of interest questionnaires and address potential conflicts
• Manage professionals’ use of expert networks
• Update policies and procedures in response to regulatory changes and operational adjustments
• Work with outside advisors on mock audits and regulatory updates, implementing changes as required

• 6-8 years of experience in SEC Registered Investment Adviser (RIA) compliance roles, preferably with regulated investment firms.
• Bachelor’s Degree
• Self-sufficient and proactive; willingness to roll up sleeves on all tasks – big and small, challenging and routine
• Excellent judgment; ability to communicate and to work effectively with all levels of the organization

Compensation Expectations:$175-200K base; $200-260K all-in