Senior Associate - Regulatory Compliance in ...

Company Overview Join a leading Investor Services group dedicated to providing comprehensive solutions for the administration, accounting, regulatory, and compliance needs of the investment sector globally. With a global workforce of over 5,800 employees across 25 jurisdictions and more than $750 billion in assets under administration, we partner with 13 of the world's top-15 private equity firms. Our commitment to ESG and cutting-edge technology, including a global data platform and proprietary tools, sets us apart. Our exceptional team builds strong relationships with clients, delivering intelligent solutions based on deep industry understanding. Job Overview We are looking for a dedicated individual who exhibits precision, independent problem-solving skills, and critical thinking. This pivotal role focuses on developing and testing compliance programs for clients in both alternative and traditional investment sectors, including private equity, hedge funds, and venture capital. In addition, you will support regulatory exams and outsourced CCO functions. To thrive in this position, candidates must demonstrate professionalism, sound judgment, and the ability to adapt to the dynamic schedules and deadlines set by clients. Key Responsibilities Advise clients on compliance with key U.S. securities laws, including the Securities Act, Exchange Act, and Advisers Act. Assist clients during regulatory examinations conducted by agencies such as the SEC, NFA, and state securities boards. Review marketing materials to ensure adherence to regulatory standards and assist clients in ongoing compliance functions like monitoring trading and communications. Prepare and file required U.S. regulatory documents and develop training programs focused on relevant regulations. Design testing systems, draft policies and procedures, mentor junior team members, and manage special compliance-related projects as needed. What We Offer A comprehensive benefits package designed to support your well-being and work-life balance. Generous paid time off, including 4 weeks of PTO that increases over time, sick time and paid holidays, and financial wellness support through a 401(k) plan with a company match (subject to eligibility). Health benefits including medical, dental, vision, mental health support, and additional ancillary insurance plans. Additional perks such as paid parental leave and a hybrid work schedule to enhance your personal and professional fulfillment. Competitive salary based on experience and location, ranging from $70,000 to $90,000. Qualifications Bachelor's degree and a minimum of two years of relevant compliance experience. Working knowledge of key regulations, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and FINRA or NFA/CFTC rules. Proficiency in MS Office tools, particularly Excel and Word, and ability to build strong relationships with both clients and colleagues. Dependability, flexibility, and responsiveness to changing client priorities. Strong organizational, analytical, and communication skills with the ability to work independently while managing multiple tasks in a fast-paced environment. Our Commitment to Sustainability and Inclusion We aspire to integrate sustainability into our operations and relationships with stakeholders, which include our employees, clients, and local communities. We aim to reduce our environmental impact while fostering an inclusive and equitable workplace culture led by our Diversity, Equity, and Inclusion committee. Our commitment to continuous improvement extends to our learning and development programs designed to help employees achieve their career potential. By supporting initiatives like IQ-EQ Launchpad for women managers launching funds, we strive for gender balanced representation in private equity and venture capital. Join us in our mission to create value for our clients and support them in achieving their goals.

Created: 2026-03-10