Compliance Associate (New York)
4 days ago
New York
Title: Compliance Analyst / Compliance Associate Firm: Global Private Equity Firm ($75B+) Location: New York, NY or San Francisco, CA Compensation Range: $110,000 – $150,000 base salary (dependent on experience) plus generous year end bonus and 100% benefits Job Overview: A leading global private equity firm is seeking a Compliance Analyst or Associate to support its Private Equity Compliance program. This is a highly visible and impactful role focused on identifying, managing, and mitigating compliance risk while fostering a business-oriented compliance culture. The position offers meaningful exposure to regulatory matters, internal stakeholders, and senior compliance leadership in a fast-paced investment environment. Highlights: • High-impact role within a global private equity platform, • Exposure to SEC filings, examinations, and marketing rule compliance, • Collaborative, business-focused compliance environment, • Opportunity to work closely with investor relations and marketing teams, • Conduct internal compliance testing to assess policy effectiveness and regulatory adherence, • Coordinate with external compliance consultants on periodic reviews and examinations, • Support preparation and filing of regulatory filings (e.g., Form ADV, 13F, PF, CFTC filings), • Assist with proxy voting oversight, • Review marketing materials and social media content for compliance with SEC Marketing Rule, • Support SEC examinations and regulatory inquiries, including document collection and response drafting, • Research regulatory developments impacting private fund advisers, • Bachelor’s degree required, • 3–5 years of compliance or related experience at an RIA or broker-dealer preferred, • Working knowledge of compliance testing and SEC regulatory requirements, • Familiarity with SEC Rule 206(4)-7 and SEC/FINRA marketing rules strongly preferred, • Strong organizational, analytical, and communication skills, • Ability to manage priorities in a fast-paced, dynamic environment, • Strong interpersonal skills and ability to work independently or as part of a team