Compliance Associate Full Time

Title: Compliance Analyst / Compliance Associate

Firm: Global Private Equity Firm ($75B+)

Location: New York, NY or San Francisco, CA

Compensation Range: $110,000 – $150,000 base salary (dependent on experience) plus generous year end bonus and 100% benefits

Job Overview:

A leading global private equity firm is seeking a Compliance Analyst or Associate to support its Private Equity Compliance program. This is a highly visible and impactful role focused on identifying, managing, and mitigating compliance risk while fostering a business-oriented compliance culture. The position offers meaningful exposure to regulatory matters, internal stakeholders, and senior compliance leadership in a fast-paced investment environment.

Highlights:

• High-impact role within a global private equity platform
• Exposure to SEC filings, examinations, and marketing rule compliance
• Collaborative, business-focused compliance environment
• Opportunity to work closely with investor relations and marketing teams
• Competitive compensation and strong benefits

Key Responsibilities:

• Conduct internal compliance testing to assess policy effectiveness and regulatory adherence
• Coordinate with external compliance consultants on periodic reviews and examinations
• Support preparation and filing of regulatory filings (e.g., Form ADV, 13F, PF, CFTC filings)
• Assist with proxy voting oversight
• Review marketing materials and social media content for compliance with SEC Marketing Rule
• Support SEC examinations and regulatory inquiries, including document collection and response drafting
• Research regulatory developments impacting private fund advisers
• Assist with ad hoc compliance initiatives and projects

Qualifications:

• Bachelor’s degree required
• 3–5 years of compliance or related experience at an RIA or broker-dealer preferred
• Working knowledge of compliance testing and SEC regulatory requirements
• Familiarity with SEC Rule 206(4)-7 and SEC/FINRA marketing rules strongly preferred
• Strong organizational, analytical, and communication skills
• Ability to manage priorities in a fast-paced, dynamic environment
• Strong interpersonal skills and ability to work independently or as part of a team