Compliance Associate

Our client is seeking a Senior Compliance Associate to play a crucial role in ensuring adherence to all relevant private fund regulations. This position provides the opportunity to work cross-functionally with various teams and closely collaborate with firm management. The successful candidate will be part of an organization that values perspectives and experiences from all backgrounds, fostering an inclusive and supportive environment.

Key Responsibilities:
As a Senior Compliance Associate, your role will be pivotal in maintaining the integrity of our client's operations by ensuring strict adherence to all relevant regulations. Your responsibilities will include managing the firm's compliance with SEC regulations, supporting capital raising efforts, fulfilling regulatory obligations towards existing investors, conducting regular audits, preparing regulatory filings, participating in regulatory examinations, collaborating with advisors, implementing the firm's Compliance Program, and creating policies to ensure ongoing compliance. Your ability to manage multiple projects in a dynamic environment will be key to your success.

• Manage the firm's adherence to Securities and Exchange Commission (SEC) regulations and other relevant compliance requirements for a private funds manager
• Support capital raising efforts, including international fund registration initiatives, negotiations, and marketing material development
• Fulfil diligence and regulatory obligations related to existing investors
• Conduct regular compliance audits and risk assessments
• Prepare regulatory filings, compliance reports, and due diligence responses
• Participate in regulatory examination preparation and process
• Collaborate with firm advisors, including compliance consultants and outside counsel
• Implement and oversee the firm’s Compliance Program
• Create, monitor, and document compliance policies and procedures

Key Requirements:
The ideal Senior Compliance Associate brings an advanced degree or relevant certifications related to compliance, along with 4-6 years of experience in a similar role within the financial services industry. You possess an in-depth understanding of regulations and compliance requirements specific to this sector. Your excellent communication skills enable you to effectively collaborate across teams, while your detail-oriented nature ensures thoroughness in all tasks undertaken. A proactive attitude coupled with strong analytical abilities allows you to anticipate issues before they arise. Your familiarity with compliance software aids in the efficient execution of responsibilities.

• Advanced degree or relevant certifications related to compliance; JD considered but not required
• 4-6 years of experience in a compliance, legal, or regulatory role within the financial services industry
• In-depth knowledge of regulations and compliance requirements for the financial services industries
• Excellent communication and interpersonal skills
• Detail-oriented with strong analytical abilities
• Proactive attitude with eagerness to take on new projects and challenges
• Ability to manage multiple projects and meet deadlines in a dynamic environment
• Familiarity with compliance, financial reporting, and investor relations software

What's next:

If interested in this position, please contact Daniela Garcia at +1 332 205 3839 or Daniela.Garcia@robertwalters.com