Compliance, Control Room, Analyst

The Rise Fund; Rockhampton Regional; On-site; AUD 99,000 - 155,000; Full time

Job summary

TPG is seeking an Analyst to join its Compliance team in New York to implement the global Control Room strategy and ensure regulatory obligations are met across platforms. The role involves maintaining watch lists, information barriers, and conflict management in collaboration with business, legal, and compliance teams.

The candidate will identify conflicts, support policy development, and liaise with external parties to mitigate risks, while handling trade reviews and escalations in a

Qualifications

• Bachelor's degree required in a relevant field.
• 1+ years of compliance experience in financial industry.
• Self-motivated team player with ownership of tasks.
• Strong organizational skills and attention to detail.
• Excellent written and oral communication skills.
• Experience in fast-paced environments and meeting deadlines.
• Proficiency in Microsoft Office (Excel & PowerPoint).
• Willingness to complete FINRA SIE within 9 months of hire.
• Knowledge of Investment Management and Private Funds regulatory framework is a plus.

Responsibilities

• Identify, escalate, and manage conflicts of interest across groups, regionally and globally.
• Oversee implementation, communication, and maintenance of watch lists and restricted lists.
• Manage and enforce information barriers, including wall-cross requests and supervision of communications.
• Assist in developing policies and systems for control room and conflict issue administration.
• Advise business units on information barrier issues related to new products, initiatives, space sharing, and tech access.
• Manage escalations of personal trading, private investments, and outside business activity requests.
• Coordinate with outside law firms and deal professionals to identify and mitigate conflicts; monitor investment review committee meetings.
• Implement, monitor, and dismantle temporary information barriers.
• Review and process firm trade requests.
• Assist in Control Room projects and initiatives.

Skills

Attention to detail

Written & verbal communication

Organizational skills

Self-motivated

Microsoft Excel

PowerPoint

FINRA SIE

Education

Bachelor's degree in a relevant field

Tools

Microsoft Excel

Microsoft PowerPoint

Job description

About TPG

TPG is a leading global alternative asset management firm, founded in San Francisco in 1992, has investment and operational teams around the world. TPG invests across a broadly diversified set of strategies, including private equity, impact, credit, real estate, and market solutions, and our unique strategy is driven by collaboration, innovation, and inclusion. Our teams combine deep product and sector experience with broad capabilities and expertise to develop differentiated insights and add value for our fund investors, portfolio companies, management teams, and communities.

TPG's success depends on our people, and we build and sustain our world-class team by creating an inclusive, supportive culture within the firm that seeks excellence and encourages humility and transparency. The quality of our investments and our ability to build great companies depend on the originality of our insights. Reaching our firm's full potential means supporting every team member to bring the fullness of their unique perspective to their work and to our community. We are committed to a diverse, equitable, and inclusive workplace to foster diversity of thought and reflect the breadth of our limited partners and portfolio companies.

Description of Position

TPG has an exciting opportunity for an Analyst to join its Compliance team in New York, where they will be responsible for implementing the global Control Room strategy. The Control Room administers firm-wide policies to ensure that TPG and its respective platforms fulfill their regulatory obligations and manage conflicts of interest, including maintaining the firm's restricted and watch lists, establishing and monitoring information barriers to prevent the misuse of material nonpublic information, and managing conflicts. The role requires regular interaction with business, legal, and compliance personnel across the entire organization.

Principal Responsibilities

• Identify, escalation, and manage conflicts of interest across groups, both regionally and globally
• Oversee the implementation, communication, and maintenance of firm watch lists and restricted lists
• Manage and enforce the firm's information barrier, including wall-cross requests and related e-communications surveillance
• Assist in developing policies and systems for firm-wide administration of control room and conflict issues
• Advise business groups on all information barrier issues, which include, but are not limited to, new business products & initiatives, space sharing, and technology access
• Manage escalations of issues arising from personal trading, private investment, and outside business activity requests
• Coordinate with outside law firms, deal professionals, and other members of legal and compliance to identify and mitigate potential conflicts, including monitoring investment review committee meetings
• Implement, monitor, and dismantle temporary information barriers
• Review and process firm trade requests
• Assist in Control Room projects and initiatives

Requirements

• Bachelor's degree; 1+ years of relevant compliance experience within the financial industry.
• Self-motivated and proactive team player who takes ownership and accountability of assigned tasks.
• Strong organizational skills, attention to detail, and excellent written and oral communication skills.
• Experience working in a fast-paced environment, demonstrating effective time/task management and the ability to meet strict deadlines.
• Proficient in Microsoft Office (specifically Microsoft Excel & PowerPoint).
• Willingness to complete FINRA SIE within 9 months of hire
• Knowledge of the Investment Management and Private Funds industry, including familiarity with the Investment Advisers Act of 1940 and relevant SEC/FINRA regulations is preferred.