Compliance Associate

Global Private Equity firm is looking for a Compliance Associate as a new addition to the team. This is a great role for an individual with 1-3 years of related experience looking for opportunity to take ownership of the Compliance function, within a company that has been growing both organically, as well as through acquisition.

Compensation & Benefits:

• Strong base pay
• Bonus
• Profit Sharing Plan
• Set growth & promotion track
• Health / Dental / Vision / 401k
• Fantastic company culture
• Hybrid work model

Responsibilities:

• Establish and maintain compliance rules in the core compliance engine
• Maintain up to date understanding of new and proposed regulations (SEC, State) to determine applicability to the firm based on a thorough understanding of the current business model.
• Preparation of monthly and quarterly reports
• Support daily monitoring of pre and post trade activities for specific equity, fixed income and alternative funds and accounts, including complex investment strategies
• Reporting of beneficial ownership in an accurate and timely manner
• Work with Compliance team to ensure relevant regulatory filings
• Review and updating compliance policies and procedures
• Assisting with investment compliance
• Review and approving of marketing materials
• Identify and resolve potential material non-public information and information barrier matters
• Provide management with information on current trends and issues recognized during assignments and recommend plans for improvement
• Participate in and leading strategic initiatives within the team and in partnership with various business partners

Requirements:

• 1-3 years of relevant experience
• Bachelor's degree in Finance, Accounting, Economics, or related field preferred
• Experience in the financial services industry, compliance and/or operations
• Regulatory and policy experience a plus
• Ability to business partner across departments & levels, as well as with the leadership team, and external parties
• Interest in growth & promotion with the firm