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Real Estate PE - Compliance Associate

Full Time
Work Place
Part Remote
Real Estate Field
  • Insurance / Risk Management
New York
Postal Code
United States

This job is no longer active.


Responsibilities will include:

  • Supporting Chief Compliance Officer (‘CCO’) in resolving general compliance and Code of Ethics issues
  • Drafting and maintaining compliance policies and procedures, including Code of Ethics and Compliance Manual
  • Assist in the preparation and filing of all SEC reporting by the funds and management companies, including Forms ADV, PF and Schedules 13D, F, G and H, as necessary
  • Work with CCO and Chief Information Officer on joint Compliance/IT initiatives, including GDPR compliance, business continuity and general cybersecurity issues
  • Coordinate the Firm’s response to regulatory and/or mock examinations, including document production, interviews and other inquiries
  • Manage the Firm’s Code of Ethics reporting system to facilitate and review employee filings (personal securities trading, preclearance, gifts and entertainment, etc.)
  • Research regulatory issues and key developments to integrate into the Firm’s compliance program
  • Engage with Firm's Senior Management Team and other senior professionals across various Firm functions to ensure compliance integration with business functions and facilitate the “tone at the top”
  • Prepare memoranda related to significant issues, including the management of MNPI and trade/investment allocations
  • Coordinate and manage the Firm’s work with 3rd party compliance consultants and outside counsel, including assisted email review, AML procedures, mock examinations and general regulatory inquiries
  • Work with the CCO to consult on the review of all of marketing, investor presentations, client communications, and other material for compliance purposes based on relevant securities laws and Investment Adviser advertising rules
  • Respond to time sensitive, compliance related inquiries from investment professionals
  • Manage the Firm’s vendor due diligence program, utilizing 3rd party software tools to facilitate diligence requests, evaluate response materials, and coordinate the review and approval by the CCO and Chief Information Officer.
  • Develop materials/presentations and participate in the training of Firm employees on compliance policies and procedures
  • Assisting with special projects as needed


PE Firm with offices in Western Europe and New York City, seeks Compliance Associate for New York office.


Qualified candidate must have:

Strong academic credentials from an undergraduate or graduate level financial services program

5-8  years of prior experience in a private equity compliance, audit, accounting, legal or other risk related field within financial services industry

Excellent written and verbal communication skills

Strong interest in real estate and/or investment management

Ability to track multiple priorities at once

Ability to develop & implement processes with assistance from the team

Familiarity with research databases, powerpoint design and other computer applications

Ability to work effectively independently as well as in a team setting

Characteristics that include being self-motivating, highly organized, analytical and inquisitive


Job Functions

  • Accounting / Control
  • Risk Management
  • Due Diligence

Job Sectors

  • Industrial
  • Office
  • Retail


5+ to 7 years

This job is no longer active.

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