Compliance Associate

Fernridge Group; New York (NY); On-site; USD 110,000 - 150,000; Full time

Benefits offered by this job

Generous year-end bonus

Competitive compensation

Comprehensive benefits

Job summary

A leading global private equity firm is looking for a Compliance Analyst/Associate based in New York or San Francisco. This role involves supporting compliance programs, conducting internal testing, and managing regulatory filings. Ideal candidates have 3–5 years of compliance experience and strong knowledge of SEC regulations. The position offers competitive compensation of $110,000 – $150,000 plus benefits, in a collaborative compliance environment.

Qualifications

• 3–5 years of compliance or related experience at an RIA or broker-dealer.
• Working knowledge of compliance testing and SEC regulatory requirements.
• Familiarity with SEC Rule 206(4)-7 and SEC/FINRA marketing rules preferred.

Responsibilities

• Conduct internal compliance testing to assess policy effectiveness.
• Coordinate with external compliance consultants on periodic reviews.
• Support preparation and filing of regulatory filings.

Skills

Compliance testing

Regulatory knowledge

Analytical skills

Communication skills

Interpersonal skills

Job description

Title: Compliance Analyst / Compliance Associate

Firm: Global Private Equity Firm ($75B+)

Location: New York, NY or San Francisco, CA

Compensation Range: $110,000 – $150,000 base salary (dependent on experience) plus generous year end bonus and 100% benefits

Job Overview

A leading global private equity firm is seeking a Compliance Analyst or Associate to support its Private Equity Compliance program. This is a highly visible and impactful role focused on identifying, managing, and mitigating compliance risk while fostering a business-oriented compliance culture. The position offers meaningful exposure to regulatory matters, internal stakeholders, and senior compliance leadership in a fast-paced investment environment.

Highlights

• High-impact role within a global private equity platform
• Exposure to SEC filings, examinations, and marketing rule compliance
• Collaborative, business-focused compliance environment
• Opportunity to work closely with investor relations and marketing teams
• Competitive compensation and strong benefits

Key Responsibilities

• Conduct internal compliance testing to assess policy effectiveness and regulatory adherence
• Coordinate with external compliance consultants on periodic reviews and examinations
• Support preparation and filing of regulatory filings (e.g., Form ADV, 13F, PF, CFTC filings)
• Assist with proxy voting oversight
• Review marketing materials and social media content for compliance with SEC Marketing Rule
• Support SEC examinations and regulatory inquiries, including document collection and response drafting
• Research regulatory developments impacting private fund advisers
• Assist with ad hoc compliance initiatives and projects

Qualifications

• 3–5 years of compliance or related experience at an RIA or broker-dealer preferred
• Working knowledge of compliance testing and SEC regulatory requirements
• Familiarity with SEC Rule 206(4)-7 and SEC/FINRA marketing rules strongly preferred
• Strong organizational, analytical, and communication skills
• Ability to manage priorities in a fast-paced, dynamic environment
• Strong interpersonal skills and ability to work independently or as part of a team