Second Year Associate (PE Compliance)
Salary undisclosed
Checking job availability...
Original
Simplified
Our client is a private equity firm. They seek a Second Year Associate (PE Compliance) to join their Manhattan, NY office. Private equity background required.
Responsibilities
- Support and lead monthly testing, including obtaining proof of compliance
- Contribute to US and UK annual compliance reviews and any mock audits
- Update the US and UK compliance manuals and code of ethics each year
- Assist with onboarding new hires and provide live training sessions
- Manage employee personal trade reviews and employee certifications
- Meet compliance task deadlines and respond to AML/KYC requests
- Complete compliance reviews of marketing materials and investor requests
- Handle existing investor requests such as DDQs, reporting, and one-off requests
- Work with CCO on various SEC, FCA, Cayman, and other regulatory filings
- Aid with documentation and oversight of the firm’s other service providers.
Requirements
- Bachelor’s degree required
- 2-5 years of compliance experience
- Experience in private equity is required
- Strong experience with the SEC regulatory framework
- Knowledge of SEC cyber and disaster recovery best practices
- Familiar with UK FCA regulations and filings preferred
- Keen attention to detail, deadline-oriented, and organized
- Effective written and verbal communication skills
- Experience with gVue or a similar platform is preferred
JobID: 16168
Our client is a private equity firm. They seek a Second Year Associate (PE Compliance) to join their Manhattan, NY office. Private equity background required.
Responsibilities
- Support and lead monthly testing, including obtaining proof of compliance
- Contribute to US and UK annual compliance reviews and any mock audits
- Update the US and UK compliance manuals and code of ethics each year
- Assist with onboarding new hires and provide live training sessions
- Manage employee personal trade reviews and employee certifications
- Meet compliance task deadlines and respond to AML/KYC requests
- Complete compliance reviews of marketing materials and investor requests
- Handle existing investor requests such as DDQs, reporting, and one-off requests
- Work with CCO on various SEC, FCA, Cayman, and other regulatory filings
- Aid with documentation and oversight of the firm’s other service providers.
Requirements
- Bachelor’s degree required
- 2-5 years of compliance experience
- Experience in private equity is required
- Strong experience with the SEC regulatory framework
- Knowledge of SEC cyber and disaster recovery best practices
- Familiar with UK FCA regulations and filings preferred
- Keen attention to detail, deadline-oriented, and organized
- Effective written and verbal communication skills
- Experience with gVue or a similar platform is preferred
JobID: 16168