Associate, Private Equity Compliance
About The Position
Vista Equity Partners ("Vista") is seeking to hire a Compliance Analyst or Associate (subject to experience) to support Vista's Private Equity Compliance program. This individual will proactively assist in identifying and containing compliance risk, foster a business-oriented compliance function, and help the organization embrace compliance. Successful candidates will possess a high level of personal accountability, a strong work ethic, strong organizational skills, and the ability to work as a part of a team or individually with limited supervision. This is a highly visible and impactful role that will require excellent communication skills and a professional demeanor. This role is for an immediate start and based in New York, NY or San Francisco, CA.
Requirements
- 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.
Nice To Haves
- Working knowledge of compliance testing, SEC Rule 206(4)-7, and SEC and FINRA marketing rules is also highly desired.
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.
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Industry
Securities, Commodity Contracts, and Other Financial Investments and Related Activities
Number of Employees
501-1,000 employees
