Compliance Associate

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 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 #J-18808-Ljbffr Fernridge Group