Compliance associate
A leading PE firm with over $170 billion in assets under management is seeking a Compliance Associate to join its dynamic team. The firm specializes in growth-oriented investments in the software and technology sectors, with a portfolio of over 500 companies and offices across major financial hubs including New York, Chicago, London, and San Francisco.
This role supports the implementation, management, and review of the firm's Compliance Program. The ideal candidate is organized, proactive, and comfortable working independently while engaging regularly with cross-functional teams. You will often serve as the first point of contact for employees navigating compliance obligations.
Key Responsibilities:
- Administer the firm's Code of Ethics compliance
- Assist in developing the Compliance Risk Matrix and annual testing program.
- Analyze testing results and contribute to annual reporting for senior leadership.
- Review personal trading, political contributions, and gifts/entertainment for conflicts of interest.
- Chaperone investment team calls with expert networks.
- Conduct AML/KYC checks on investors and portfolio companies.
- Support regulatory filings including Form ADV, Form PF, etc
- Assist with compliance for the firm's broker-dealer
Qualifications:
- Bachelor's degree required.
- 3+ years of relevant compliance experience
- Strong analytical and communication skills.
- Ability to manage multiple priorities and work collaboratively across departments.
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