Compliance Analyst (Private Equity)
ARDIAN US LLC
The Compliance Team is looking for a Compliance Analyst to join the New York office to assist with the implementation of local regulations and to work within the Global Compliance Team of more than 20 employees based around the world.
The successful candidate will be expected to be able to handle topics and be part of a team solution. The candidate will be exposed to a range of both local and global regulations and is expected to have an ambition for understanding and interpreting complex topics.
The candidate will have a unique opportunity to learn about the essential business functions of an SEC regulated investment manager (Ardian US) and how it operates within the Ardian Group. They will be assist in drafting and implementing the necessary policies and procedures as they relate to the regulated activity of the office.
- The successful candidate will be responsible for contributing to the development and effectiveness of the Firm’s compliance program and helping to oversee its execution.
- Monitor and report on relevant Code of Ethics topics, including gifts, trading accounts, outside business activities, directorships, etc.
- Assist in preparing regulatory filings for US regulatory bodies (Form ADV, Form PF, etc.)
- Assess any regulatory developments in the United States and assist in creating policies, procedures and monitoring requirements associated with applicable regulatory developments involving the Advisers Act, Advertising Rule, etc.
- Prepare and assist with the creation of compliance reports that will be provided to senior staff on a periodic basis.
- Work as part of the Global Compliance Team, ensuring that global policies and procedures are met and followed accordingly.
- Work with various teams, promoting the development of a Compliance culture within ARDIAN to proactively raise awareness of regulatory topics and developments
Specialised business and technical knowledge:
- Strong attention to detail, analytical and independent thinker and problem solver
- Proactive and organized with an ability to work concurrently on multiple work streams
Education and Experience:
- Strong educational background with an undergraduate degree
- Preferably 1-3 years’ experience in the compliance and regulatory field
- Experience at an SEC registered investment advisor is preferred but not essential
- Experience working at a regulatory agency is preferred but not essential
- Good technical skills and a broad range of compliance capabilities across a range of areas
- Must be a team player, able to communicate well within the team and with other teams
- Ability to challenge independently and constructively to achieve our goals
- Ability to communicate effectively, orally and in writing at all levels of the organization
- Capability to work autonomously and tackle issues and ability to know when to escalate accordingly
ARDIAN is committed to providing equal employment opportunities to our employees, applicants and candidates based on individual qualifications, without regard to any singularities. As a forward thinking organization, we recognize that having people from different backgrounds brings innovation and excellence. Therefore, we pay a particular attention to building a diverse and inclusive working environment.