Compliance Associate

Compliance Associate (New York, NY): Our client is a leading global private credit and equity fund with over $50 billion in assets is seeking a Compliance Associate to join its growing New York team. This is a newly created seat offering an opportunity to join a lean, highly collaborative compliance team with meaningful exposure to senior leadership, investment professionals, and a diverse range of investment products. The Associate will play an integral role in supporting and enhancing the firm's compliance program while taking on increasing responsibility as the platform continues to grow.

Key Points

• This individual will have direct exposure to senior leadership and the opportunity to play a meaningful role in shaping the compliance program and supporting the firm's continued growth.
• This person will work closely with experienced compliance leadership who are committed to providing hands-on mentorship, professional development, and opportunities to take ownership of key initiatives.
• The compliance function is expected to expand alongside the business, creating opportunities for increased responsibility and advancement. The firm is flat in structure and encourages employees to forge their own career paths.
• The fund prides itself on a genuinely supportive, approachable, and team-oriented culture where individuals are valued, encouraged to contribute ideas, and empowered to make an impact.
• Join a well-established private capital manager backed by a leading global asset management organization, offering the stability of a scaled institution alongside the entrepreneurial environment of a growing business.

Responsibilities:

• Partner closely with the Chief Compliance Officer and VP of Compliance to support the firm's compliance program, including policies and procedures, regulatory calendars, compliance testing, documentation, and ongoing initiatives.
• Assist with annual compliance reviews and testing under the Investment Advisers Act and Investment Company Act, including Rules 206(4)-7 and 38a-1.
• Coordinate with enterprise risk, compliance, and other control functions on regulatory initiatives, risk assessments, testing, and audits.
• Support regulatory examinations and internal audits, including document collection, request tracking, and remediation efforts.
• Assist with the preparation and coordination of regulatory filings, disclosures, and reports, including Form ADV and Form PF.
• Partner with the firm's Luxembourg AIFM to support European fund registrations, passporting requirements, regulatory filings, and ongoing compliance obligations.
• Review marketing materials, investor communications, and related documentation for compliance with applicable regulations and internal policies.
• Develop and enhance compliance policies, procedures, and internal processes to address evolving regulatory requirements and business needs.
• Coordinate with enterprise compliance on code of ethics matters, including gifts and entertainment, personal trading, and employee conduct policies.
• Collaborate with investment, legal, operations, and investor relations teams on compliance initiatives, process improvements, and special projects.
• Serve as a resource to colleagues on compliance matters and proactively identify opportunities to strengthen the compliance framework.

Qualifications

• Bachelor's degree required.
• 3-5 years of compliance experience at an SEC-registered investment adviser, ideally within private credit, private equity, or registered funds.
• Strong organizational skills and attention to detail, with the ability to manage multiple priorities in a fast-paced environment.
• Excellent written and verbal communication skills, with the confidence to engage with colleagues across functions and levels of seniority.
• Proactive, intellectually curious, and resourceful, with the ability to think critically, exercise sound judgment, and contribute ideas.
• Collaborative team player with a high degree of integrity, accountability, and a desire to take ownership of meaningful responsibilities.

Compensation: $120-150k base; $160-200k all-in

Job Reference: #3699166