Senior Compliance Analyst

Audax Group • Boston, MA

9h • $100,000 - $150,000 • Onsite

About The Position

Seeking a detail oriented Senior Compliance Analyst for a newly created position supporting all aspects of Audax Private Equity’s compliance program. Reporting directly to the CCO, the Senior Compliance Analyst will work closely with members of the Audax Private Equity investor relations, accounting, and investment teams. The Senior Compliance Analyst will be an integral part of the Audax compliance team, based in Boston and New York.

Requirements

• BA or BS degree required
• 3 to 5 years of compliance experience within the financial services space, preferably with private fund advisor experience
• Professional maturity and ability to engage effectively at all levels, including with senior management
• Experience with compliance testing, monitoring and marketing material review preferred
• Ability to work independently and as part of a team, while effectively collaborating and communicating to coordinate workload, priorities, initiatives, and regulatory interpretations
• Sound judgment in a fast-paced, deadline driven environment, with the ability to prioritize time sensitive projects
• Detail oriented, organized, and analytical, with strong issue spotting and execution skills
• Motivated self-starter with a willingness to “roll up your sleeves” and identify opportunities for enhancement
• Clear and effective written and oral communicator
• Consensus builder with demonstrated self-awareness, humility, and ability to learn and adapt
• Pragmatic approach that balances regulatory and policy standards with business practice
• Relationship builder with partners throughout the organization and external to the organization
• Flexibility and a willingness to take on new, varied and cross functional projects
• Ability to be in office 4 days per week, with some flexibility as needed.

Responsibilities

• Assist with implementation of Audax Private Equity’s compliance program
• Actively participate in annual reviews and risk assessments
• Perform periodic compliance testing and monitoring across the program
• Administer and enforce compliance policies and procedures, including maintaining compliance records and evidence requirements
• Track regulatory developments impacting private equity advisers
• Assist with developing new policies, procedures, and technological upgrades to meet increasing regulatory demands and growth in the business
• Work with various business unit representatives to incorporate compliance requirements into business processes
• Assist with oversight of service providers, support Reg S-P privacy and data protection controls and participate in incident response and escalation as needed
• Assist with Form ADV Parts 1 and 2, Form PF, and other filings
• Support SEC examinations and regulatory enquiries, including document production and response coordination
• Work closely with the Audax Private Equity investor relations team to create, review, and approve marketing materials and investor communications for multiple product lines
• Other ad hoc projects and special tasks related to compliance matters, as needed

Benefits

• Audax offers a wide range of employee benefits, including health insurance, life insurance, disability insurance, paid time off (including sick leave, parental leave, volunteer leave, and vacation), charitable donation match, family support services (including Bright Horizons and Benefit Advocate Center), and a 401(k) in addition to other benefits.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 101-250 employees