Title : Compliance Associate
Firm : $100B+ alternative investment management fund
Location : Austin, TX
Compensation Range : $130k - $150k base plus bonus
FIRM IS OPEN TO PAYING FOR RELOCATION TO AUSTIN, TX
Job Overview : Our client, a leading global investment firm, is seeking a highly accountable and diligent Compliance Associate to support the firm's Core Compliance program.
The successful candidate will be directly reporting to the Director of Compliance.
Highlights :
- Opportunity to join a leading private equity / hedge fund with a tremendous track record and global experience
- True generalist position with a manager that encourages learning opportunities
- Firm's investments are anchored by a sizable long-term capital base and flexible management techniques that drive growth
- Senior management encourages growth and fosters the expectation that this person will feel comfortable working across the business and interacting with a variety of groups
- Firm believes in the power of technology, innovation, ESG, and diversity
Key Responsibilities :
- Maintain the Firm’s internal compliance testing calendar and coordinate internal compliance testing initiatives with Compliance and other team members
- Conduct ongoing internal testing to ensure effectiveness and identify areas to improve the firm's relevant policies and procedures
- Support the Marketing team in the review and approval of public-facing marketing materials and social media activity
- Support ongoing external reviews conducted in conjunction with external compliance consultants; attend and provide thoughtful contributions to associated interviews with various business partners
- Support the Compliance Director with US regulatory filings (ADV, 13F, Form PF, CFTC)
- Perform ongoing upkeep of the Firm’s compliance risk and control matrix and regulatory readiness database
- Coordinate ongoing Compliance Manual and related policy and procedure updates with the Compliance team and other stakeholders
Qualifications :
- Bachelor’s Degree
- Minimum of 3 years of regulatory compliance experience at a registered investment adviser, regulator, or compliance consulting firm required
- Working knowledge of compliance testing, US regulatory filings, SEC Rule 206(4)-7, and SEC marketing rules is highly desired
- Ability to work in a fast-paced and dynamic environment with changing requirements
- Strong organizational, analytical, written, and verbal communication skills
- Excellent interpersonal skills and client service orientation
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