What are the responsibilities and job description for the Senior Compliance Associate position at Cardea Group?
Senior Compliance Associate (New York, NY): Our client, a longstanding and successful private equity firm with over $50B in AUM, is seeking to hire a Senior Compliance Associate. This position will collaborate closely with the leadership and oversee day-to-day aspects of the compliance program, as well as collaborate on large scale projects. Seated in a newly created capacity, the Senior Associate will have an 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:
- 4-8 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: $175-200k base bonus
Salary : $175,000 - $200,000
