Compliance Officer Permanent

Our client is a private equity firm. They seek a Compliance Officer to join their Manhattan, NY office.

Responsibilities

• Coordinate monthly compliance testing activities, including documentation collection and verification of regulatory requirements
• Support annual compliance reviews, mock audits, and ongoing updates to compliance policies and procedures
• Maintain compliance manuals, codes of ethics, and regulatory materials in accordance with evolving requirements
• Deliver employee onboarding support and compliance training sessions for new hires
• Administer employee compliance processes, including personal trading reviews, certifications, and pre-clearance requests
• Monitor compliance deadlines and ensure timely completion of regulatory and internal requirements
• Assist with AML/KYC reviews, investor diligence requests, marketing material reviews, and compliance inquiries
• Collaborate with internal teams and external consultants on regulatory filings, audits, and service provider oversight
• Support corporate governance activities, including entity maintenance, renewals, structure documentation, and compliance filings
• Contribute to ESG initiatives, insurance renewals, expert network reviews, and co-investment processes

Requirements

• Bachelor’s degree required
• 2-5 years of compliance experience at an SEC-registered investment adviser or compliance consulting firm
• Exposure to PE is preferred
• Strong knowledge of the SEC regulatory framework
• Working knowledge of SEC cyber and disaster recovery best practices and various data privacy
  regulations
• Strong knowledge of UK FCA regulations and filings preferred
• Ability to thrive in a team environment
• Effective communication skills, both written and verbal

Tagged as: In-Office