Senior Compliance Associate

A leading private equity firm with over $8 billion in assets under management (AUM) is looking for a Senior Compliance Associate join their compliance team. This is a unique opportunity to work directly with the firm’s CCO in a high-impact, hands-on role, with the potential for growth and increasing responsibilities over time. The ideal candidate will have experience in private equity, asset management, or a similar financial services environment and be comfortable managing regulatory filings, employee compliance programs, and compliance systems.

Regulatory Filings & Reporting:

• Prepare and submit Form ADV filings.

• Assist in the preparation and filing of Form PF reports.

Employee & Firm Compliance:

• Prepare, send, and review annual employee compliance attestations, including:

• Supervised Persons Questionnaires

• Policies & Holdings Attestations

• Conduct quarterly reviews of:

• Personal trading activity

• Employee communications

• Maintain and update the firm’s Restricted List.

• Onboard new employees and ensure compliance with firm policies.

External Compliance & Monitoring:

• Prepare, send, and review annual external attestations for:

• Key vendors

• Operations consultants

• Portfolio companies (Anti-Bribery compliance)

Compliance System Management:

• Oversee and manage the firm’s compliance system (My Compliance Office - MCO).

• Ensure ongoing maintenance and updates within the system.

Qualifications:

• 3-6 years of compliance experience in private equity, asset management, or a related financial services firm.

• Strong understanding of SEC regulatory requirements and compliance best practices.

• Experience with My Compliance Office (MCO) or similar compliance platforms preferred.

• Excellent attention to detail and ability to work independently in a small-team environment.

• A proactive mindset with the desire to grow into a more senior role over time.