Senior Compliance Associate - Top Global Private Equity Firm

  • Base salary, bonus and excellent benefits
  • New York, NY, USA
  • Permanent, Full time
  • The Forum Group
  • 11 Dec 17 2017-12-11

This position will serve as a compliance generalist supporting all aspects of The Firm's Private Equity compliance program. The role will work directly with professionals across various functions including other members of the Private Equity Legal & Compliance team, other Legal & Compliance groups, Investor Relations & Business Development, and Finance

Primary job responsibilities will include:
• Reviewing fund marketing materials, investor communications and responses to investor inquiries;
• Working with the firm’s Investor Relations & Business Development group and Legal & Compliance to ensure compliance with marketing laws and regulations applicable to private funds worldwide, including the AIFMD;
• Assisting with various regulatory filings such as Forms ADV and PF;
• Reviewing and negotiating confidentiality agreements and miscellaneous contracts;
• Assisting in the updating and maintenance of compliance policies and procedures;
• Conducting regulatory research; and
• Assisting on firm wide Legal & Compliance issues and projects as necessary.
Our client seeks to hire individuals who are highly motivated, proactive, intelligent, and have demonstrated excellence in prior endeavors. The successful candidate should have:
• 2-3 years’ experience in a compliance role at a financial services, private equity or hedge fund firm with substantial knowledge of the Investment Advisers Act of 1940 and the day-to-day compliance affairs of private funds OR
• at least 1 year of experience as a practicing fund lawyer
• an undergraduate degree is required and a J.D. is preferred
• demonstrated ability to write effectively
• superior organizational skills
• strong communication skills
• desire to learn
The successful candidate should demonstrate the following personal competencies:
• Strong technical skills, sharp intellect, and ability to understand difficult, complex compliance and business problems
• The ability to work with colleagues to devise pragmatic and creative solutions
• Prioritization, perspective and focus on critical tasks that add value
• Excellent organizational skills and follow-through 
• Highly effective oral and written communication
• Natural ability to develop relationships, internally and externally 
Personal Characteristics
The successful candidate should possess the following personal characteristics:
• Outstanding record of academic achievement and professional accomplishment
• Strong judgment and the ability to engender trust
• Integrity and maturity
• Open, flexible, collaborative, positive and proactive disposition
• “Can do” attitude, sense of urgency, diligent and conscientious work ethic
• Calm demeanor, tolerance for ambiguity and confidence
• High level of patience and emotional intelligence in order to work effectively within an extremely demanding environment
• Striving for excellence and driven to contribute to the Company’s success