Compliance Analyst

Job Description

Job Description

Compliance Analyst

Our client, an established and highly regarded PE fund, is looking for a compliance associate / analyst. This is a very broad role with tremendous growth opportunity. The person hired for this position will have autonomy over various functions, interaction with all levels of personnel firmwide, and the ability to focus on specific areas of compliance, if desired, over time. Notably, the fund has recently opened a new line of business and is continuing to grow. Compensation is competitive.

Responsibilities :

• Oversee electronic surveillance systems to identify activities that may breach company policies, regulatory obligations, or industry best practices. Assess potential risks and ensure all business operations align with ethical and legal standards.
• Investigate, document, and escalate cases of non-compliance, unusual activity, or potential risk exposure.
• Prepare detailed reports on compliance breaches or suspicious behavior, sharing findings with relevant teams to support prompt issue resolution.
• Draft and distribute violation notices to employees found in breach of policy.
• Support audit preparation by compiling surveillance data, compliance documentation, and audit-ready reports for both internal and external reviews.
• Conduct e-discovery efforts, including locating, collecting, reviewing, and producing electronic data for legal or regulatory purposes.
• Collaborate with internal legal teams and external counsel to coordinate and manage e-discovery matters effectively.

Qualifications