What are the responsibilities and job description for the Senior Compliance Analyst position at StevenDouglas?
Compensation: 100k - 120k plus annual bonus
Please note that candidates must have some compliance experience from a PE Firm/RIA
Key Responsibilities
- Assist in the implementation, monitoring, and enhancement of the firm’s compliance program
- Support annual and ongoing compliance reviews, including risk assessments and testing protocols.
- Monitor and analyze regulatory developments, providing guidance on implications for the firm’s operations.
- Conduct forensic testing of trading and portfolio management activities to ensure compliance with firm policies.
- Maintain and update compliance records and filings, including Form ADV, Form PF, and other regulatory submissions.
- Support the review and approval of marketing materials and investor communications in accordance with SEC marketing rules.
- Assist with compliance training for employees and new hires.
- Work cross-functionally with Legal, Investor Relations, Operations, and Investment teams.
- Assist in managing regulatory exams and audits.
- Help evaluate and manage third-party service providers from a compliance perspective.
Qualifications
- Bachelor's degree required; JD, MBA, or relevant advanced degree a plus.
- 5–7 years of compliance experience, preferably within a private equity and/or registered investment adviser environment.
- Deep knowledge of SEC regulations and private fund compliance practices.
- Experience with compliance systems (e.g., ComplySci, MyComplianceOffice, or similar platforms).
- Excellent analytical, organizational, and communication skills.
- Proven ability to manage multiple priorities and meet tight deadlines.
- High level of integrity, discretion, and professionalism.
Salary : $100,000 - $120,000
