Private Equity Compliance Specialist

Comunidade Metodista; San Francisco (CA); On-site; USD 110,000 - 150,000; Full time

Job summary

Vista Equity Partners seeks a Compliance Analyst or Associate to support its Private Equity Compliance program. The role emphasizes identifying and containing compliance risk, with responsibilities spanning internal testing, regulatory filings, and marketing review.

The candidate should have a background in compliance within registered investment advisers or broker-dealers, strong communication skills, and the ability to work independently or in a team.

Qualifications

• Bachelor’s Degree required.
• 3-4 years of compliance or related experience at a registered investment adviser or broker-dealer preferred.
• Ability to work in a fast-paced and dynamic environment with changing priorities.
• Excellent written and verbal communication and organizational skills.
• Strong interpersonal skills and client service mindset.
• Ability to work independently or in a team with limited supervision.
• Working knowledge of compliance testing and SEC/FINRA rules is highly desirable.

Responsibilities

• Conduct ongoing internal testing to assess effectiveness of policies and procedures and identify enhancements.
• Coordinate with external compliance consultants on reviews and document requests; participate in partner interviews.
• Assist with regulatory filings, including Form ADV, Form 13F, Form PF, CFTC filings, and proxy voting oversight.
• Review marketing materials to ensure SEC Marketing Rule compliance; coordinate with investor relations and marketing teams.
• Assist with SEC examinations and regulatory inquiries, including document collection and drafting responses.
• Research and analyze regulatory developments relevant to private fund advisers.
• Perform ad hoc projects to support the Compliance Team.

Skills

Strong communication

Analytical thinking

Time management

Teamwork / collaboration

Client service

Regulatory knowledge (SEC Rule 206(4)-

Education

Bachelor’s Degree

Job description

Vista Equity Partners seeks a Compliance Analyst or Associate to support its Private Equity Compliance program. The role emphasizes identifying and containing compliance risk, with responsibilities spanning internal testing, regulatory filings, and marketing review.

The candidate should have a background in compliance within registered investment advisers or broker-dealers, strong communication skills, and the ability to work independently or in a team.