Our client, a private investment firm, is looking to build out its compliance department, aligning with blueprints for growth plans in 2025. With over $6 billion in assets under their management, the company works to serve a variety of clients including family offices, endowments, high-net-worth individuals, and trusts.
We are searching for a motivated individual to fill a Compliance Analyst role, reporting into Director of Human Capital and Compliance. Daily tasks may include the assistance of offering and subscription documents review, continuous research and filing of SEC Exam Priorities and Risk Alerts, and working with Form ADV and Section 13 filings.
Responsibilities:
- Ensure the upkeep and arrangement of internal compliance documentation.
- Preserve distribution records of client paperwork demonstrating reviews and authorizations.
- Manage regulatory submissions as per stipulated mandates, such as Form ADV and Section 13 filings.
- Collaborate in scrutinizing and authorizing all offering and subscription documentation pertaining to our investment funds.
- Oversee adherence to the company's policies and protocols, conducting ongoing audits to ensure compliance.
- Maintain a yearly record of SEC Exam Priorities and Risk Alerts, including the firm's responses.
- Aid in composing compliance reports and memoranda for any unique compliance-related scenarios, overseeing their filing and organization.
- Coordinate the annual review of the compliance program with external compliance consultants.
Qualifications:
- Bachelor's Degree required; JD preferred
- Minimum of two years in administrative professional roles.
- Proficiency in computer applications including Excel, Word, and PowerPoint.
- Familiarity with compliance administration tools like ComplianceAlpha, MyCompliance Office, or similar platforms.
- Exceptional verbal and written communication abilities.
- Diligent attention to detail and commitment to follow-through.
- Capacity to prioritize assignments and handle numerous projects within tight deadlines.
- Aptitude for thriving in a collaborative, fast-paced setting, potentially assuming various responsibilities as required.
- Demonstrated "no job is too small" mindset.
The Salary range of $100,000 to $120,000 for this position is dependent upon experience and qualifications. Please note, candidates with a JD and associate experience may be subject to higher compensation. Our client offers a competitive bonus structure and benefits package.
