Senior Compliance Associate - Private Alternatives
Core
Support the Private Alternatives Compliance program by executing surveillance and testing, assessing compliance risks, and managing regulatory obligations for private alternative investment products.
Role type
Senior Compliance Associate (Private Alternatives)
Builds
Compliance surveillance and testing programs, risk assessment frameworks, and governance processes for private funds.
Domain
Financial Services / Private Alternative Investments
Required skills
Compliance program management, regulatory obligation analysis, risk assessment, governance process coordination, policy development, conflict of interest identification, fiduciary duty understanding, documentation discipline, complex fact evaluation, stakeholder collaboration
Preferred skills
Private alternative investment product experience, compliance program development experience, AI-enabled productivity tools familiarity
Technologies
Microsoft Office (Excel, Word, Outlook, PowerPoint)
Responsibilities
Execute compliance surveillance and testing programs; identify, assess, and document compliance risks and control gaps; coordinate governance processes and annual Rule 206(4)-7 reviews; review and enhance policies and controls; stay current on regulatory expectations for private funds.
Seniority
Senior, hands-on IC