Senior Compliance Associate (Private Equity) - Daley and Associates

Senior Compliance Associate - Boston, MA - Private Equity

A leading multi asset manager with over $180B in assets is looking to hire a Senior Compliance Associate to their growing team. This position will be a member of the business unit compliance team. The business unit compliance team provides advice and guidance, addresses business specific issues, and drafts business policies and procedures, including supporting Investor Relations and affiliated broker-dealer. These business compliance officers serve as the first point of contact for compliance-related questions and issues that may arise.

Responsibilities:

• Address compliance and risk-related matters, questions and concerns raised by the business(es) she/he covers.

• Develop and implement all compliance requirements in the business(es).

• Develop applicable policies and procedures for business unit functions.    

• Partner with Investor Relations on the review of marketing materials and investor communications for compliance with applicable regulations and to ensure consistency and high standards of disclosures.

• Advise on certain aspects of fundraising process, including monitoring international marketing restrictions.

• Assist in investor onboarding process related to compliance with AML and KYC policies and procedures.

• Work with Compliance team to ensure relevant regulatory filings, including Form ADV, Form PF,

• Form BD, Form BR, and other filings, are submitted appropriately.

• Collaborate with the Compliance team to cover all business areas. 

• Respond to issues and questions identified by the surveillance staff.

• Assist with compliance assurance matters and examination readiness. 

• Communicate to management all issues and risks that need to be addressed.  

• Work on long term projects aimed at strengthening the compliance program.

Qualifications:

• Bachelor’s degree with a strong GPA.

• 4 to 6 years of relevant experience required.

• Working knowledge of regulatory compliance and Advisers Act regulation.

• Dedicated team player with a strong sense of ownership, self-assuredness, and follow-through skills.

• Collegial and team-oriented.

• Capacity to professionally handle highly confidential and sensitive information.

• Detail-oriented, conscientious, and energetic professional with the ability to think creatively.

• Strong written communication skills.

This role is a full time hybrid opportunity (3 days in 2 at home) that will offer a competitive base salary, bonus, profit share, and great benefits. If you are interested in this opportunity, please reach out to Vincenzo Kulturides directly at vkulturides@daleyaa.com

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