Compliance Associate

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Boston, MA
$75,000 - $85,000
Job Type
Direct Hire
Feb 12, 2019
Job ID
Our client, a premier global private equity firm based in Boston is searching for a Compliance Associate to join the compliance team and work closely with the companies Director of Compliance. This role is an exciting opportunity for someone to create and build a new function within the firm! 

If you have 2-4 years of compliance experience, some familiarity with the Investment Advisers Act of 1940, and a strong desire to have exposure to all areas of the business, this is a unique opportunity worth exploring.

The Compliance Associate will play a critical role within the firm's compliance program and supporting additional legal, compliance and reporting responsibilities within the firm’s finance group.  The Associate will be responsible for supporting the Director of Compliance with the monitoring, testing and review of our global compliance program, risk management as well as researching, developing and implementing various policies and procedures.   The Associate also will take ownership of the compilation and filing of various regulatory filings and support the finance team on certain aspects of transaction execution and periodic reporting and compliance matters.
Responsibilities will include but not limited to:
  • Assist with employee compliance reporting requirements including Code of Ethics, personal trading, outside affiliations, gift and entertainment, political contributions and others
  • Maintain firm's policies and procedures and periodically review for updates to applicable laws, regulations, industry guidance and best practices
  • Contribute to the quarterly monitoring and periodic internal audits, testing and monitoring
  • Support staff firm-wide with records management, documentation tracking and vendor management
  • Complete the compliance training and manage the onboarding process for all new hires  
  • Review investor communications, marketing and other correspondence for compliance with applicable requirements
  • Complete regularly filings such as Form PF, Form S, Form SLT and AIFMD
  • Assist with maintaining internal database of key information on all entities managed by firm (including  Firm Funds, General Partner entities, holding companies, and other entities)
  • Work with Accounting Group to source information on investor slide presentations
  • Coordinate with Accounting Group on completion of various aspects of periodic fund accounting and reporting process
  • Support the Accounting Group on transaction execution
  • Assist with various anti-money laundering and know-your-customer requests
  • Provide as-needed support for compliance related and other ad-hoc projects
Job Qualifications:
  • Ability to handle confidential information with discretion
  • Ability to juggle multiple assignments at once in a fast-paced environment
  • Great attention to detail and strong organizational skills
  • Proactive approach to daily work and projects; strong work ethic
  • Team player who can also work independently – excellent attitude
  • A hard worker with a “roll up your sleeves” attitude who is motivated to do whatever it takes to get the job done
  • A dedicated, detail-oriented, enthusiastic and energetic professional who has:
    • A high degree of service orientation towards everyone inside and outside the organization
    • A high standard of integrity, character and professionalism
    • An ability to prioritize workflow in a challenging and evolving environment
    • Solid communication skills, both written and verbal
    • Strong analytical, organizational and interpersonal skills
    • Strong MS Office skills
Desired Background/Education:
  • Bachelor Degree, preferably in finance or accounting, strong academic credentials
  • 2-4 years post undergraduate experience
  • Experience in previous compliance or legal roles
  • Familiarity with the Investment Advisers Act of 1940 preferred
Compensation and Benefits:
  • A highly competitive package that includes a base salary plus annual performance bonus
  • Company currently pays 100% of medical, dental, disability and life insurance coverage
  • Company contributes an amount equal to 15% of compensation to employee-directed retirement account
To learn more about the role and firm, contact, Jim Langan, Managing Director, Fenway Search Group at or phone 781-223-8599