Compliance Analyst

About the role

The Compliance Manager / Senior Compliance Associate will serve as a key compliance resource across multiple client engagements in the private funds space, overseeing and maintaining Code of Ethics frameworks and internal compliance programs, drafting, implementing, and enhancing Policies & Procedures, preparing and managing regulatory filings, conducting electronic communications reviews for regulatory risk, reviewing and approving marketing and advertising materials in line with SEC requirements, and leading vendor due diligence and third-party risk assessments.

Responsibilities

• Serve as a key compliance resource across multiple client engagements in the private funds space
• Oversee and maintain Code of Ethics frameworks and internal compliance programs
• Draft, implement, and enhance Policies & Procedures
• Prepare and manage regulatory filings (Form ADV, Form PF, etc.)
• Conduct electronic communications (e-comm) reviews for regulatory risk
• Review and approve marketing and advertising materials in line with SEC requirements
• Lead vendor due diligence and third-party risk assessments

Requirements

• 1-3 years of compliance experience within private equity, venture capital, or private fund environments
• Strong understanding of SEC investment adviser regulations
• Prior experience in a compliance consulting firm, RIA, or private fund manager
• Ability to manage multiple client relationships and work independently in a remote setting

Qualifications

• BS/BA degree in Finance, Accounting, Business Administration, or related field
• CPA or CFA designation preferred

Skills

• Excellent written and verbal communication skills
• Proficiency in Microsoft Office Suite
• Experience with regulatory filing processes and SEC guidelines
• Ability to manage multiple tasks and prioritize effectively

Benefits

• Full-time, remote work model (U.S.-based)
• Competitive base salary of $80,000-$120,000 + bonus
• High-growth environment with strong client exposure and ownership opportunities

Pay

• Base salary of $80,000-$120,000 + bonus

Schedule

• Full-time, remote work model (U.S.-based)