Buy Side Compliance Associate

Overview

• Support compliance operations for a dynamic private equity firm, ensuring adherence to regulatory standards and enhancing compliance frameworks.
• Collaborate with senior compliance leadership to manage certifications, filings, and regulatory submissions effectively.
• Administer compliance systems, including personal trading pre-clearance and reporting mechanisms, ensuring operational efficiency.
• Monitor regulatory developments and assess their impact on fund operations and advisory activities.
• Contribute to compliance training programs, fostering awareness and adherence among teams.
• Assist in maintaining compliance calendars, tracking systems, and records management processes.
• Support AML/KYC compliance efforts, including sanctions screening and Politically Exposed Person monitoring.
• Help prepare for regulatory examinations and audits, ensuring readiness and compliance.

Key Responsibilities & Duties

• Prepare and file regulatory submissions, including Form ADV and Form PF, ensuring accuracy and timeliness.
• Administer personal trading pre-clearance and reporting systems, maintaining compliance with the Code of Ethics.
• Monitor compliance with restricted securities lists and maintain brokerage reporting connections.
• Support AML/KYC compliance efforts for Limited Partners and update AML policies and procedures.
• Maintain compliance books and records, ensuring adherence to Advisers Act requirements.
• Assist in drafting and reviewing quarterly and annual compliance reports.
• Research and implement new compliance systems and tools to enhance operational efficiency.
• Provide compliance training for investment teams and operations staff, fostering awareness and adherence.

Job Requirements

• Bachelor's degree in finance, accounting, legal studies, or related field required.
• 2-4 years of experience in compliance, legal, audit, or fund administration preferred.
• Strong understanding of Investment Advisers Act requirements or willingness to learn.
• Proficiency with Microsoft Office Suite, including Excel, Word, and PowerPoint.
• Exceptional attention to detail, organizational skills, and ability to handle confidential information.
• Familiarity with SEC regulations, including Form ADV, Form PF, and Marketing Rule.
• Understanding of venture capital fund structures and private fund operations is a plus.
• Experience with compliance management systems and tools preferred.