Compliance Officer - Private Equity

Compliance Officer - Private Equity

We are seeking a detail-oriented and proactive Compliance Analyst to support our private equity investment and fund management operations. In this role, you will help maintain the firm’s regulatory compliance framework, oversee investor onboarding and AML/CFT screening, conduct periodic internal reviews, and assist with regulatory filings. You will work closely with the Deal Teams, Investor Relations (IR), Operations, and external legal/compliance advisors.

Key Responsibilities

• Regulatory Monitoring & Reporting: Track changes in relevant financial services regulations (e.g., SFA, FAA, and applicable global rules) and assist in preparing periodic filings and reports for senior management.

• Policy & Procedure Maintenance: Help draft, update, and review the firm's compliance manuals, risk management policies, and code of ethics.

• Testing & Audits: Support internal compliance testing, mock audits, and the review of marketing collateral, pitchbooks, and LP communications.

• Advisory & Training Support: Answer day-to-day compliance queries from internal teams (Deal, IR, Operations) and assist in delivering compliance awareness training.

• Recordkeeping: Maintain accurate, audit-ready compliance logs, registers (e.g., personal trading, gifts & entertainment, conflicts of interest), and archive systems.

Qualifications & Requirements

• Education: Bachelor’s degree in Finance, Business, Law, Accounting, or a related discipline.

• At least 5 years of regulatory compliance experience within financial services—ideally in private equity, asset management, fund administration, or a registered investment adviser environment.

• Knowledge Base: Familiarity with fund management regulations, LP due diligence, and AML/KYC requirements.

• Certifications: Relevant certifications (e.g., ICA International Diploma in Governance, Risk and Compliance, CAMS, or CCEP) are a strong plus.

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