Compliance Associate

Compliance Associate (New York, NY): Our client, a private equity firm with over $10B in AUM, is seeking a Compliance Associate to join their New York office in a newly-created role. The firm is driven to deliver meaningful returns by supporting forward-thinking companies and leaders working in cutting-edge innovations and solutions, with a focus on healthcare. This role will be key in supporting trade activities and managing the portfolio process, ensuring compliance with both regulatory requirements and internal policies.

Key Points:

• Newly established role based in the New York office, offering a unique opportunity to shape and grow within the position.
• Work directly with the CCO who is exceptional and passionate about mentorship.
• Collaborative, growth-oriented office culture that encourages innovation and continuous improvement
• Supportive environment that values transparency, inclusivity, and open communication
• Work closely with the investment team and develop relationships across the firm

Responsibilities:

• Oversee and approve trading activities to ensure compliance with applicable regulations and internal guidelines.
• Assist in developing, implementing, and updating compliance policies and procedures to meet evolving regulatory requirements.
• Prepare, maintain, and file periodic compliance reports, ensuring accuracy and timeliness.
• Serve as a liaison between traders, portfolio managers, compliance teams, management, and external service providers to address compliance-related matters.
• Conduct training sessions for staff to promote awareness and understanding of compliance guidelines, policies, and procedures.
• Utilize compliance platforms like Enfusion and ComplySci to monitor trading activities and ensure adherence to compliance protocols.
• Stay abreast of evolving regulatory requirements and industry trends. Assess their impact on the firm's operations and implement necessary changes to ensure compliance.

Qualifications:

• Bachelor’s degree with 3-8 years of relevant compliance experience, preferably at the SEC and/or within asset management
• Familiarity with long/short equity
• Excellent organizational skills and strong attention to detail
• Strong technical capabilities and an analytical mindset
• Proficient written and verbal communication skills

Compensation: $150-200k base; up to $300k all-in

Job Reference # 3136525