Almond Partners (Buy-Side Executive Search) · 17 hours ago
Senior Compliance Associate
NYC Metro Area
Full-time
Hybrid
Mid, Senior Level
2+ years expAlmond Partners is a growing private equity platform seeking a Senior Compliance Associate to enhance and execute their compliance program. The role involves working closely with senior leadership and entails responsibilities such as supporting compliance program development, monitoring trading activities, and assisting with regulatory filings.
Human Resources
Responsibilities
Support the build-out, maintenance, and testing of the firm’s compliance program under the Investment Advisers Act and applicable private fund regulations
Assist with ongoing monitoring of trading, conflicts of interest, MNPI controls, gifts & entertainment, political contributions, and other key risk areas
Prepare and help file regulatory reports and registrations (e.g., Form ADV, Form PF, 13F/13G/13H, Blue Sky, and other SEC and state filings)
Review and provide compliance input on marketing, fundraising, and investor communications, including pitch decks, due diligence questionnaires, offering documents, and quarterly letters
Assist with compliance aspects of new fund launches, co-invests, and other private equity products, including policies, disclosures, and regulatory analyses
Help administer and enhance the firm’s compliance systems and technology, including surveillance tools, code of ethics/attestations, and compliance calendars
Participate in periodic compliance risk assessments, thematic reviews, and forensic testing; document findings and track remediation
Support responses to regulatory examinations and inquiries, including information gathering, documentation, and follow-up
Monitor regulatory and industry developments affecting private funds and help translate them into practical guidance and policy updates
Contribute to firmwide compliance training and communications that make compliance clear, practical, and embedded in the culture
Qualification
Required
2–5 years of relevant experience in compliance at a private equity firm, hedge fund, asset manager, investment bank, or related regulatory/consulting environment
Solid understanding of private fund advisers, the Investment Advisers Act of 1940, and core SEC/FINRA concepts (experience with Form ADV and Form PF is a plus)
Bachelor's degree required; a strong academic track record in finance, economics, accounting, law, or a related field is preferred
Comfort working with data, systems, and Excel; experience with compliance or surveillance tools is a plus
Outstanding attention to detail, organization, and follow-through, with the ability to manage multiple projects and deadlines in a fast-paced environment
Clear, concise communication skills and the confidence to interact with investment professionals and senior stakeholders
A proactive, ownership mindset, intellectual curiosity, and a genuine interest in private equity and regulation
Preferred
A strong academic track record in finance, economics, accounting, law, or a related field is preferred
Experience with compliance or surveillance tools is a plus
Benefits
Competitive base + bonus + lucrative benefits
Company
Almond Partners (Buy-Side Executive Search)
Almond Partners is a NYC-based specialized executive search firm dedicated to sourcing, evaluating, and effectively placing talent across the alternative investment industry.
11-50 employees
Funding
Current Stage
Early StageLeadership Team
Erica Rabinowitz
Managing Partner, Buy-Side Administrative Recruitment
Sarah Cohen
Partner
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