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Second Year Associate (PE Compliance)

  • Full Time, onsite
  • Abacus Group, LLC
  • New York City Metropolitan Area, United States of America
Salary undisclosed

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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