Job Description
Senior Associate (Westchester County, NY): Our client, a long standing private equity firm with over $8B in AUM, is seeking a Senior Associate to join its growing team. The firm has expanded into additional investment strategies in recent years, creating increased breadth and complexity across the compliance function. This is a highly visible opportunity for a hands-on compliance professional to work closely with senior leadership in a collaborative, lean team environment with strong long-term growth potential.
Key Points
- Broad, generalist compliance role across private equity and private credit strategies
- GC/CCO is an exceptional mentor who plans to offer this new hire tremendous development opportunities
- Team is bright, collaborative, works cross-functionally across the firm, and has a strong quality of life
- Westchester County location accessible for NYC and Connecticut commuters
Responsibilities
- Support and enhance the firm’s compliance program across multiple strategies
- Review marketing and fundraising materials for regulatory compliance
- Assist with SEC filings, annual reviews, and compliance testing initiatives
- Maintain compliance policies, procedures, and governance documentation
- Partner with legal, investor relations, operations, and investment teams on day-to-day compliance matters
- Monitor regulatory developments and assist with implementation efforts
Qualifications
- 5–7 years of compliance experience within investment management or private funds
- Strong generalist compliance experience, including SEC filings, marketing review, and policy management
- Private equity experience strongly preferred; private credit exposure is a plus
- Familiarity with the Investment Advisers Act and SEC regulatory framework
- Strong organizational, communication, and interpersonal skills
- JD not required
Compensation: $175-200K base; $200-250K (+/-) all-in
Job Reference #3602501B