Compliance, Control Room, Analyst

Socket.dev; City of Rochester (NY); On-site; USD 65,000 - 90,000; Full time

Job summary

TPG seeks an Analyst to join its Compliance team in New York, implementing the global Control Room strategy and administering firm-wide policies to ensure regulatory obligations and manage conflicts of interest across platforms.

The role requires regular interaction with business, legal, and compliance personnel across the organization, supporting watch lists, information barriers, and conflict mitigation efforts.

Qualifications

• Bachelor's degree in finance or related field.
• 1+ year of compliance experience in the financial industry.
• Self-motivated and proactive team player with ownership of tasks.
• Strong organizational skills with attention to detail and communication.
• Experience in fast-paced environment and meeting deadlines.
• Proficient in Microsoft Office (Excel and PowerPoint).
• Willingness to complete FINRA SIE within 9 months of hire.
• Knowledge of Investment Management and Private Funds industry preferred.

Responsibilities

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

Skills

Compliance experience

Self-motivated

Communication skills

Time management

Detail oriented

FINRA SIE

Industry knowledge

Education

Bachelor's degree

Tools

Microsoft Excel

PowerPoint

Job description

Position Overview

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.

Responsibilities

• Identify, escalate, 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

Qualifications

• 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.