Compliance Analyst (Austin, TX): Our client, a thriving $2B+ private/growth equity firm, is seeking to hire a Compliance Analyst. This position will collaborate closely with the Deputy Chief Compliance Officer, the Partner, CFO, and CCO, providing day-to-day support to the compliance department in managing the firms compliance program.
Key Points:
- Exceptional opportunity for career advancement, opening pathways to senior-level roles.
- Collaborate with a dynamic, cohesive team while gaining significant exposure to senior leadership.
- They are actively fundraising and expanding, offering a dynamic work environment, where compliance is seen as a partner to the business.
- Firm has a people-first culture and offers flexibility, requiring 2 days in the office per week.
Responsibilities:
- Manage the firm's compliance reporting software, including certifications, brokerage connections, compliance filings (Code of Ethics review, pre-clearances, etc.), and the managed account process with third-party brokers.
- Support the review, approval, and oversight of expert network calls.
- Assist in documenting the compliance program including drafting committee minutes, preparing compliance memos, and maintaining various compliance logs.
- Facilitate the vendor due diligence process by proactively following up with vendors to ensure timely completion of assessments and assisting in the thorough review of submitted evaluations.
- Create, maintain, and oversee the compliance calendar and its related ongoing tasks.
- Support compliance testing, including the annual compliance review.
- Assist in overseeing third-party compliance vendors, including compliance and cybersecurity consultants.
- Prepare regulatory filings, including Form ADV, Form PF, and Form 13F, along with responses to investor operational due diligence inquiries and other requests.
- Contribute to the revision of compliance policies and procedures, including the Compliance Manual, Code of Ethics, Cybersecurity Policy, and Business Continuity Plan (BCP).
- Work closely with the Deputy Chief Compliance Officer and Chief Compliance Officer to develop and strengthen the compliance program.
- Support the marketing review process by assisting in managing workflows within Red Oak software.
Qualifications:
- 1-3 years of experience in SEC Registered Investment Adviser (RIA) compliance roles, preferably with regulated investment firms.
- Bachelor's Degree, preferably in Business or Finance.
- Proficient in ComplySci, Smarsh, and working with third-party consultants.
- Exceptional attention to accuracy and precision; highly organized and detail-focused.
- Proactive and self-driven, committed to delivering high-quality results.
- Capable of managing multiple projects concurrently while adhering to deadlines.
- Eager to engage actively and collaborate with team members across various disciplines and external partners, serving as a positive representative of the firm.
Compensation: $85-120k base; $100-150k all-in
Job reference #2733100