Our client is a rapidly growing private markets firm who provides customized investment and advisory solutions to a global clientele.
The Compliance Associate will assist with the administering of the compliance program for funds registered under the Investment Company Act of 1940 ("40 Act").
ABBREVIATED LIST OF RESPONSIBILITIES:
Prepare board materials and quarterly board reports
Assist with review of deals for compliance with 40 Act restrictions
Assist with the 40 Act compliance monitoring and testing program
EDUCATION AND/OR WORK REQUIREMENTS:
Bachelor's degree or relevant experience
Minimum of 4 years of compliance or regulatory experience with a financial institution
Exposure to the federal securities laws with extensive exposure to the Investment Company Act of 1940 preferred
Knowledge of investment products, financial markets, and investment concepts