A long standing LA based private equity firm, (25B AuM, is seeking a Compliance Associate to join their growing team!
This position will be working directly with and reporting to the Chief Compliance Officer.
Responsibilities Assist with regulatory filings (e.gs., SEC forms ADV and PF; regional licensing and registrations); Review employee trading and related activities to ensure compliance with firm policies; Participate in internal and external audits and reviews of the firm’s compliance program; Assist with “know your customer” and anti-money laundering processes and conduct due diligence on potential investors and counterparties; Draft corporate, partnership and limited liability company resolutions and authorities; Track entities and director and officer updates; Work with outside counsel to create and maintain charts of key terms for transactions, financing and employment arrangements; Assist with non-disclosure agreements; Review and develop Registered Investment Adviser Compliance Policies and Procedures and Code of Ethics, and assist and identify areas where policies and procedures need to be developed or amended; Design and implement compliance training program; Work with Legal Department to maintain and improve monitoring list processes; Work with Legal Department and outside counsel on staying current on legal and regulatory issues and developments, and develop and implement related strategies; Assist with portfolio company legal support.
Qualifications & Experience Bachelor’s degree with a strong record of academic achievement; 1-5 years of experience working in private equity, investments, banking, broker-dealer or other financial services firms;