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
- Competitive compensation and strong benefits
Key Responsibilities:
- 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
- Assist with ad hoc compliance initiatives and projects
Qualifications:
- 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
