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Compliance Associate - Private Equity

Boston, MA, United States

Compliance Associate

Global Private Equity firm is looking for a Compliance Associate as a new addition to the team. This is a great role for an individual with 1-3 years of related experience looking for opportunity to take ownership of the Compliance function, within a company that has been growing both organically, as well as through acquisition.

Compensation & Benefits:

Strong base pay

+ Bonus

+ Profit Sharing Plan

+ Set growth & promotion track

+ Health / Dental / Vision / 401k

+ Fantastic company culture

+ Hybrid work model

Responsibilities:

Establish and maintain compliance rules in the core compliance engine

Maintain up to date understanding of new and proposed regulations (SEC, State) to determine applicability to the firm based on a thorough understanding of the current business model.

Preparation of monthly and quarterly reports

Support daily monitoring of pre and post trade activities for specific equity, fixed income and alternative funds and accounts, including complex investment strategies

Reporting of beneficial ownership in an accurate and timely manner

Work with Compliance team to ensure relevant regulatory filings

Review and updating compliance policies and procedures

Assisting with investment compliance

Review and approving of marketing materials

Identify and resolve potential material non-public information and information barrier matters

Provide management with information on current trends and issues recognized during assignments and recommend plans for improvement

Participate in and leading strategic initiatives within the team and in partnership with various business partners

Requirements:

1-3 years of relevant experience

Bachelor's degree in Finance, Accounting, Economics, or related field preferred

Experience in the financial services industry, compliance and/or operations

Regulatory and policy experience a plus

Ability to business partner across departments & levels, as well as with the leadership team, and external parties

Interest in growth & promotion with the firm

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