Corporate Compliance Associate

Key Responsibilities: Maintenance of Corporate Governance documents and corporate life (LLCAs, LPA, Resolution, etc.)Support in corporate contractual management, and provide support to business development Assisting with preparation of certain regulatory filings such as ADV, PF, BEA, as well as certainnon-US compliance-related filings (Canada).- Monitor compliance with the Code of Ethics, as well as policies, procedures and protocols, including those in respect of personal trading, political contributions, outside business activitiesand gifts and entertainment.- Preparing all reporting and filing obligations and monitoring the compliance activities ofthe company (lobbyist registration, marketing and advertising materials).Participate in risk monitoring of all investment vehicles managed by the company Participate in the regular compliance testing and monitoring of the compliance processes andprocedures Aid the company in being "exam ready" for future SEC/Regulatory exams Assisting with maintenance, organization, and filing of compliance books & records. Assisting with other compliance-related projects as needed (the company is an ISO 9001 and 37001 certified group).Partner with finance, IR, and investment operations teams to ensure integration of thecompliance program across the firm. Assist with preparing compliance training materials and conduct training. Stay current on new and upcoming regulations and practices affecting operations. Identify, develop, and implement process, practice, and policy improvement initiatives.

Requirements: Bachelor's Degree required; JD or Masters a plus Minimum three- five years' experience in the financial services/fund management field with afocus on SEC compliance. Private Equity Fund exposure is preferable; understanding ofprivate equity fund structures, operations, and administration • Knowledge of the Investment Advisers Act of 1940, as amended