Marketing Compliance Associate
A private equity firm in the NYC area is looking to hire a Compliance Associate. The person in this role will oversee the review of marketing materials, due diligence responses, and investor communications, ensuring they comply with U.S. regulations and internal policies. The role involves collaborating with investor relations and business teams to provide compliant solutions, improving processes for timely reviews, and conducting training sessions on marketing regulations.
Responsibilities:
- Oversee the compliance review of marketing materials, due diligence responses, and other investor communications, ensuring alignment with U.S. regulatory requirements and internal policies.
- Collaborate with investor relations and business teams to provide innovative, compliant solutions for business messaging.
- Evaluate and enhance current processes related to marketing and distribution activities to ensure timely, accurate reviews.
- Design and deliver training sessions for investor relations and deal professionals on the latest marketing regulations and best practices.
- Participate in the annual review process under Rule 206(4)-7 of the Investment Advisers Act with the compliance team.
- Network with industry peers to stay informed about best practices for reviewing marketing materials and other relevant topics for U.S. Registered Investment Advisors.
- Assist in maintaining compliance with the firm's Code of Ethics, including transaction monitoring, political contributions, and other required certifications using Comply software.
- Support the maintenance of other compliance procedures, including periodic Anti-Money Laundering reviews.
- Keep abreast of regulatory changes, particularly those affecting the marketing of funds and other products by U.S. Registered Investment Advisors.
- Contribute to additional compliance and legal initiatives as needed.
Requirements:
- Bachelor's degree or equivalent in a related field with 3-5+ years of experience;
- Strong understanding of the regulatory environment impacting private fund managers, including the U.S. SEC Marketing Rules;
- Experience with private equity fund marketing materials a must, experience with private credit fund marketing materials a plus, experience with GIPS compliance a bonus;
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