Compliance Associate

Our client, a private equity firm based in NYC, is seeking a Compliance Associate.This role is instrumental in ensuring the firm's marketing and investor communications meet U.S. regulatory requirements while maintaining high standards of quality and accuracy.The ideal candidate will collaborate closely with investor relations and business professionals to ensure compliance across all communications and marketing activities.Primary Responsibilities Lead the compliance review of marketing materials, diligence responses and other investor communications while ensuring materials are aligned with applicable U.S. regulatory requirements and internal policies and proceduresEngage with investor relations and business professionals to provide creative solutions for business messaging that is compliant with applicable U.S. regulatory requirements and internal policies and proceduresWork through current processes and implement new processes related to marketing and distribution activity to ensure timely review response while maintaining quality and accuracyDevelop and provide trainings to investor relations and deal professionals on the latest marketing regulations and best practicesWork with the full compliance team to complete Rule 206 (4)-7 of the Investment Advisers Act annual review processNetwork with industry professionals and peer firms to ensure best practices for review of marketing materials and other topics applicable to U.S Registered Investment AdvisorsAssist in maintaining Code of Ethics compliance, including transaction monitoring, political contributions, and other required firm certifications through Comply softwareAssist in maintaining other compliance procedures and practices, including periodic Anti-Money Laundering reviewsStay on top of changes in regulatory requirements, particularly as it such changes relate to marketing of funds and other products by a U.S. Registered Investment Advisor; andSupport any other compliance and legal initiatives as necessary.QualificationsBachelor's degree or equivalent in a related field with 3-5+ years of experienceStrong understanding of the regulatory environment impacting private fund managers, including the U.S. SEC Marketing RulesExperience with private equity fund marketing materials a must, experience with private credit fund marketing materials a plus, experience with GIPS compliance a bonusSuperb analytical and organizational skills with strong attention to detailStrong project management skills and ability to multitask and manage multiple deadlines in a fast-paced and dynamic environmentClear communication style, both verbal and written across all levels of the firm

Created: 2024-11-09