Fernridge Group · 16 hours ago
Compliance Associate
New York, NY
Full-time
Onsite
Mid Level
$110K/yr - $150K/yr
3+ years expFernridge Group is a leading global private equity firm seeking a Compliance Analyst or Associate to support its Private Equity Compliance program. This role focuses on identifying, managing, and mitigating compliance risk while fostering a business-oriented compliance culture, offering exposure to regulatory matters and senior compliance leadership.
Hiring Manager
Kim Autuori
Responsibilities
Conduct internal compliance testing to assess policy effectiveness and regulatory adherence
Coordinate with external compliance consultants on periodic reviews and examinations
Support preparation and filing of regulatory filings (e.g., Form ADV, 13F, PF, CFTC filings)
Assist with proxy voting oversight
Review marketing materials and social media content for compliance with SEC Marketing Rule
Support SEC examinations and regulatory inquiries, including document collection and response drafting
Research regulatory developments impacting private fund advisers
Assist with ad hoc compliance initiatives and projects
Qualification
Required
Bachelor's degree required
Working knowledge of compliance testing and SEC regulatory requirements
Strong organizational, analytical, and communication skills
Ability to manage priorities in a fast-paced, dynamic environment
Strong interpersonal skills and ability to work independently or as part of a team
Preferred
3–5 years of compliance or related experience at an RIA or broker-dealer preferred
Familiarity with SEC Rule 206(4)-7 and SEC/FINRA marketing rules strongly preferred
Benefits
Generous year end bonus
100% benefits
Company
Fernridge Group
At Fernridge Group, we're passionate about fueling success in the dynamic world of alternative asset management.
2-10 employees
Funding
Current Stage
Early StageCompany data provided by crunchbase