Compliance Associate

Position Overview:

This roles represents an exciting opportunity for someone to help create a new role working with the Director of Compliance with the firm’s compliance program and supporting additional legal, compliance and reporting responsibilities within the firm’s finance group. The Associate will be responsible for supporting the Director of compliance with the monitoring, testing and review of our global compliance program, risk management as well as researching, developing and implementing various policies and procedures. the Associate also will take ownership of the compilation and filing of various regulatory filings and support the finance team on certain aspects of transaction execution and periodic reporting and compliance matters.


Responsibilities will include but not limited :

  • Assist with the employee compliance reporting requirements including Code of Ethics, personal trading, outside affiliations, gift and entertainment, political contributions and others

  • Maintain policies and procedures and periodically review for update to applicable laws, regulations, industry guidance and best practices

  • Contribute to the quarterly monitoring and periodic internal audits, testing and monitoring

  • Support staff firm-wide with records management, documentation tracking and vendor management

  • Complete the compliance training and manage the on boarding process for all new hires

  • Review investor communications, marketing and other correspondence for compliance with applicable requirements

  • Complete regularly filings such as Form PF, Form S, Form SLT, and SIFMD

  • Assist with maintaining internal database of key information on all entities managed by associates

  • Work with Accounting Group to source information on investor slide presentations

  • Coordinate with Accounting Group on completion of various aspects of periodic fund accounting and reporting process

  • Support the Accounting Group on transaction execution

  • Assist with various anti-money laundering and know-your-customer requests

  • Provide as-needed support for compliance related and other ad-hoc projects


  • Ability to handle confidential information with discretion

  • Ability to juggle multiple assignments at once in a fast-paced environment

  • Great attention to detail and strong organizational skills

  • Proactive approach to daily work and projects; strong work ethic

  • Team player who can also work independently- excellent attitude

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