A global private equity firm located in Manhattan is looking to hire a Compliance Analyst to join its compliance team. Working directly with the GC/CCO and other senior members of the team, the Compliance Analyst will be responsible for assisting with all regulatory and compliance initiatives of the firm.
- Monitoring and testing compliance policies and procedures.
- Assisting with regulatory filings including Form ADV and Form PF.
- Maintaining a compliance calendar and addressing regulatory changes.
- Monitor and track activities relating to compliance with gift policy, trading, outside business activities, speaking engagements, AML and KYC and political contributions.
- Update and maintain the firm restricted list.
- Bachelor's Degree; Juris Doctor preferred.
- 1-4 years of compliance experience, preferably in the investment management industry but open to others within the financial services industry.
- Strong work ethic and ability to work in a fast-paced environment.
- Knowledge of the Investment Advisors Act of 1940.