Compliance Associate

An established and growing private equity firm with a strong platform and a differentiated investment focus. About the Role The firm is hiring a Compliance Associate to manage and administer the code of ethics program and contribute to the general development and management of the firm's compliance program. This role reports directly to the Chief Compliance Officer and involves day-to-day coordination of various compliance-related functions. Key Responsibilities Serve as the main point of contact for the Code of Ethics program, providing onboarding training to new hires and responding to employee inquiries Conduct periodic review of securities transactions and holding reports; monitor personal trading; process pre-trade clearance requests; review restricted lists, gifts and entertainment, outside business activities, and political contributions Create, monitor, and document periodic reviews including employee certifications and attestations Update code of ethics policies and procedures in line with evolving business and regulatory requirements Implement, track, and maintain a compliance calendar with reporting deadlines Collect, document, and maintain compliance reviews and books and records under Rule 206(4)-7 of the Investment Advisers Act Research relevant rules and regulations and provide regular updates to the CCO Collect data and file Form PF, Form ADV, and other relevant SEC documents Contribute to investigation, documentation, and resolution of compliance matters Assist with the firm's website, electronic communications, and social media reviews for general compliance and marketing requirements Coordinate and schedule internal committee meetings, prepare materials, participate in meetings, and take minutes Create and manage workflow for follow-up requests and distribute final committee packages Support ad-hoc compliance duties and special projects Qualifications Bachelor's degree required Several years of relevant compliance experience with a private equity firm, investment advisor, or compliance consultancy Strong understanding of the asset management industry, private funds, and the Investment Advisers Act of 1940 Private equity knowledge a plus Excellent verbal and written communication skills with strong attention to detail Naturally collaborative and driven to achieve success as a team Intellectually curious with a hands-on, long-term orientation Strategic mindset with the ability to contribute to firm growth Ability to manage multiple responsibilities and prioritize under pressure Competitive base salary plus performance bonus. Comprehensive benefits package. #J-18808-Ljbffr