Compliance - Marketing & Broker-Dealer, Associate

TPG; New York (NY); On-site; USD 110,000 - 160,000; Full time

Job summary

TPG, a leading global alternative asset management firm, is seeking an Associate for its broker-dealer Compliance team in New York. You will conduct compliance oversight of fundraising and capital market activities and design policies to ensure legal and regulatory obligations are met.

Responsibilities include reviewing marketing materials, preparing regulatory filings, and supporting licensing for broker-dealer personnel, with emphasis on FINRA and Advisers Act standards.

Qualifications

• 2+ years of professional compliance experience within financial services.
• Ability to work well in a team environment.
• Strong written and verbal communications skills.
• Attention to detail, problem-solving skills, and the ability to handle tasks independently.
• Familiarity with the Advisers Act and FINRA rules preferred.
• FINRA Series 7 and Series 24 licenses or willingness to obtain within six months.

Responsibilities

• Review marketing materials and investor communications.
• Review firm communications, including press releases and social media posts.
• Prepare regulatory filings.
• Support FINRA licensing and registration process for broker dealer personnel.
• Develop, update, and implement compliance policies and procedures.
• Support and execute testing of policies and procedures.
• Develop and conduct employee training and administer electronic training tool.
• Review and assess regulatory changes that potentially impact TPG’s broker dealer business.

Skills

Compliance experience

Teamwork

Communication skills

Education

FINRA Series 7 and Series 24 licenses

Job description

TPG is a leading global alternative asset management firm, founded in San Francisco in 1992, with $261 billion of assets under management and 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.

Overview:

TPG has an exciting opportunity for an Associate to join its broker-dealer Compliance team in the New York office. Responsibilities include conducting compliance oversight of the firm’s fundraising and capital market activities and designing and implementing compliance policies, procedures, and systems to ensure that TPG and its respective platforms fulfill their legal and regulatory obligations and meet the firm’s high compliance standards. This role requires regular interaction with business, legal, and compliance personnel across the firm.

Requirements:

• 2+ years of professional compliance experience within financial services
• Ability to work well in a team environment
• Strong written and verbal communications skills
• Attention to detail, problem-solving skills, and the ability to handle tasks independently
• Familiarity with the Advisers Act and FINRA rules preferred
• FINRA Series 7 and Series 24 licenses or willingness to obtain within six months

Responsibilities:

• Review marketing materials and investor communications
• Review firm communications, including press releases and social media posts
• Prepare regulatory filings
• Support FINRA licensing and registration process for broker dealer personnel
• Develop, update, and implement compliance policies and procedures
• Support and execute testing of policies and procedures
• Develop and conduct employee training and administer electronic training tool
• Review and assess regulatory changes that potentially impact TPG’s broker dealer business

TPG is an equal employment opportunity employer that provides equal employment opportunities to all employees and applicants without regard to age, race, religion, color, national origin, ancestry, sex, sexual orientation, gender (including gender identity and expression), alienage or citizenship status, military or veteran status, physical or mental disability, medical condition, genetic information, pregnancy status, breastfeeding (or related medical conditions), familial status, caregiver status, or any other category protected by applicable federal, state, or local laws.