Cardea Group
Our client, a longstanding and successful private equity firm with over $50B in AUM, is seeking to hire a Senior Compliance Associate. Collaborating with leadership and overseeing day-to-dayaspects of the compliance program, this new hire will also take initiative on larger scale projects and initiatives. Seated in a newly upleveled capacity, the Senior Associate will have a highly visible and impactful role on the continued growth of the firm and its compliance practice.
Key Points:
Exceptional opportunity to work in a generalist capacity across the entirety of the compliance program Hiring manager is wonderful – down to earth, smart, loyal, and has a ton of institutional knowledge High visibility position working within a dynamic team and interacting consistently with senior leadership Firm is well respected and established in the industry and is still expanding Organization is established, steadily growing, and has a tremendous track record Responsibilities:
Administer and test the firm’s compliance and code of ethics program, including personal trading, political contributions, and gifts and entertainment Prepare regulatory filings (e.g., ADV, Form PF, 13F) Support responses to investor inquiries, including due diligence questionnaires and other certifications Liaise with external investor KYC provider; work with IR team and investors as needed Lead several initiatives on cybersecurity (e.g., phishing testing, communications archiving) Review conflicts of interest questionnaires and address potential conflicts Manage professionals’ use of expert networks Update policies and procedures in response to regulatory changes and operational adjustments Work with outside advisors on mock audits and regulatory updates, implementing changes as required Qualifications:
6-8 years of experience in SEC Registered Investment Adviser (RIA) compliance roles, preferably with regulated investment firms. Bachelor’s Degree Self-sufficient and proactive; willingness to roll up sleeves on all tasks – big and small, challenging and routine Excellent judgment; ability to communicate and to work effectively with all levels of the organization Compensation Expectations:
$175-200K base; $200-260K all-in
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Exceptional opportunity to work in a generalist capacity across the entirety of the compliance program Hiring manager is wonderful – down to earth, smart, loyal, and has a ton of institutional knowledge High visibility position working within a dynamic team and interacting consistently with senior leadership Firm is well respected and established in the industry and is still expanding Organization is established, steadily growing, and has a tremendous track record Responsibilities:
Administer and test the firm’s compliance and code of ethics program, including personal trading, political contributions, and gifts and entertainment Prepare regulatory filings (e.g., ADV, Form PF, 13F) Support responses to investor inquiries, including due diligence questionnaires and other certifications Liaise with external investor KYC provider; work with IR team and investors as needed Lead several initiatives on cybersecurity (e.g., phishing testing, communications archiving) Review conflicts of interest questionnaires and address potential conflicts Manage professionals’ use of expert networks Update policies and procedures in response to regulatory changes and operational adjustments Work with outside advisors on mock audits and regulatory updates, implementing changes as required Qualifications:
6-8 years of experience in SEC Registered Investment Adviser (RIA) compliance roles, preferably with regulated investment firms. Bachelor’s Degree Self-sufficient and proactive; willingness to roll up sleeves on all tasks – big and small, challenging and routine Excellent judgment; ability to communicate and to work effectively with all levels of the organization Compensation Expectations:
$175-200K base; $200-260K all-in
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