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Vista Equity Partners · 2 days ago

Associate, Private Equity Compliance

New York, NY

Full-time

Onsite

Mid Level

$110K/yr - $150K/yr

3+ years exp

Vista Equity Partners is a leading global investment firm specializing in enterprise software and technology-enabled organizations. They are seeking a Compliance Analyst or Associate to support their Private Equity Compliance program, focusing on identifying compliance risks and ensuring adherence to regulatory requirements.

ConsultingInformation Technology

Responsibilities

Conduct ongoing internal testing to assess the effectiveness of Vista’s policies and procedures, identify potential enhancements, and help ensure adherence to regulatory requirements

Coordinate with external compliance consultants on periodic reviews; assist with document requests and participate in interviews with key business partners to provide accurate and thoughtful responses

Support the Compliance Team in preparing and filing required regulatory filings, including Form ADV, Form 13F, Form PF, CFTC filings, etc., as well as assist with proxy voting oversight

Partner with Vista’s investor relations and marketing teams to review and approve marketing materials and social media communications to ensure compliance with the SEC’s Marketing Rule

Assist with SEC examinations and regulatory inquiries, including document collection, coordination across internal teams, and drafting responses

Conduct independent research and analysis on compliance and regulatory developments relevant to private fund advisers

Perform other ad hoc projects and initiatives to support the broader Compliance Team

Qualification

Compliance testingSEC regulationsAnalytical skillsWritten communicationInterpersonal skillsTime managementTeamwork

Required

Bachelor's Degree

3-4 years of experience in a compliance or related role at a registered investment adviser or broker dealer preferred

Ability to work in a fast-paced and dynamic environment with changing

Strong organizational, analytical, written, and verbal communication

Excellent interpersonal skills and client service

Excellent time management, organization, and prioritization Ability to work as a part of a team or individually with limited supervision is highly essential

Working knowledge of compliance testing, SEC Rule 206(4)-7, and SEC and FINRA marketing rules is also highly desired