Compliance Associate (Philadelphia, PA): Our client, a successful private equity firm, is looking to bring on a motivated compliance professional to work alongside the CCO and compliance team. This is an opportunity to join a cohesive team of bright individuals and assist across all aspects of their program.
Key Points:
- Opportunity to join a stable and growing PE firm with a tremendous track record and global presence
- New hire will work directly under the CCO and VP of compliance who are excited to mentor, train, and grow this person’s skill set
- The company promotes an entrepreneurial and collaborative culture; they value a flat structure and continuous development of their employees
Responsibilities:
- Administer the firm’s compliance and code of ethics program, including administering firm systems for employee personal trading, political contributions, gifts and business entertainment reporting
- Perform compliance testing and email surveillance; document testing results
- Oversee any service providers performing AML, KYC and sanctions checks on prospective clients and investments
- Support with regulatory filings such as Form PF, Form D, BEA filings and NFA affirmations
- Prepare and respond to periodic investor requests including due diligence questionnaires and other certifications
Qualifications:
- 2+ years of related compliance experience with a private equity or venture capital firm is strongly preferred but will consider similar financial institutions (hedge funds, asset managers, registered investment advisor, compliance consultants)
- Familiarity with applicable law, rules, and regulations for investment advisers (Investment Advisers Act of 1940, “Pay-to-Play” rules, insider trading laws etc.)
- Exceptional attention to detail and organizational skills; comfortable working efficiently and effectively on multiple deadlines
- Team player, with the ability to take initiative on new projects; must have a professional demeanor with a long-term interest in compliance
