Senior Analyst, Compliance - Port Chester, United States - Avature

Avature Port Chester, United States

3 weeks ago

Description

AlpInvest is a large and well-established private equity investor, with nearly $90 billion of AUM.

AlpInvest is wholly-owned by The Carlyle Group and serves as the private equity multi-manager adviser within the Carlyle Global Investment Solutions business segment.

AlpInvest's activities cover a broad range of private equity, including Primary Fund commitments, Secondary Investments and Co-Investments.

The firm's investments span the full spectrum of private equity:
buyouts, venture, growth capital, energy, mezzanine, and distressed. AlpInvest offers customized private equity solutions to single clients through separately managed accounts as well as commingled funds.

AlpInvest has a large and diverse base of over 400 investors globally, including sovereign wealth funds, public and private pension funds, insurance companies, and family offices.

This individual will support the development, maintenance and oversight of AlpInvest's regulatory compliance program regarding, especially as it relates to its regulatory obligations regarding one or more registered investment advisors.

Individual will provide operational support to the global compliance team regarding regulatory compliance matters affecting employees and advisory clients, while providing support on certain other firm-related compliance matters as needed.

This person will report to AlpInvest's Chief Compliance Officer ("CCO").
Responsibilities

Assisting with maintaining the firm's restricted trading lists, reviewing personal securities transactions and holdings statements, and ensuring the firm's books and records regarding the same are properly maintained
Assisting with periodic testing and reviews to evaluate the effectiveness of AlpInvest's compliance program, including reviewing electronic correspondence
Assisting with the due diligence on existing and prospective investors
Assisting with the preparation of regulatory filings and other periodic reports for stakeholders
Supporting the maintenance of compliance logs and other key books and records
Reviewing expert network requests and chaperoning calls with external experts and investment professionals
Reviewing supporting documentation for the firm's advertising materials
Coordinating with Asia-based Compliance colleagues to support the compliance management of AlpInvest's Asian affiliates
Assisting with updates to compliance policies and procedures
Assisting in the management of examinations and audits by regulatory authorities
Assisting with regulatory and compliance research
Assisting with compliance training for staff
Qualifications

We are seeking candidates with prior paralegal and/or compliance experience relevant to private equity and registered investment funds, strong academic credentials, and an interest in our core sectors.

Candidates must enjoy working in teams, be very detail oriented, possess outstanding organizational and analytical skills, and have strong communication and interpersonal skills.

Bachelor's Degree with a strong academic record
4-6 years of regulatory compliance or legal experience at another asset manager, a law firm, an accounting firm, the SEC, or a regulatory consulting firm
Some familiarity with US federal securities laws generally and the Investment Advisers Act specifically
Ability to comprehend and apply other applicable laws and regulations
A proven ability to effectively and clearly identify issues and communicate findings to other members of the team
A proactive, self-starter work style and ability to interact with people with varied personalities and work styles
A proven ability to multi-task and work both independently and as a team player in a dynamic and fast-paced environment
Company Information

The Carlyle Group (

NASDAQ:
CG) is a global investment firm with $382 billion of assets under management and more than half of the AUM managed by women, across 600 investment vehicles as of September 30, 2023.

Founded in 1987 in Washington, DC, Carlyle has grown into one of the world's largest and most successful investment firms, with more than 2,200 professionals operating in 28 offices in North America, South America, Europe, the Middle East, Asia and Australia.

Carlyle places an emphasis on development, retention and inclusion as supported by our internal processes and seven Employee Resource Groups (ERGs).

Carlyle's purpose is to invest wisely and create value on behalf of its investors, which range from public and private pension funds to wealthy individuals and families to sovereign wealth funds, unions and corporations.

Carlyle invests across three segments - Global Private Equity, Global Credit and Investment Solutions - and has expertise in various industries, including: aerospace, defense & government services, consumer & retail, energy, financial services, healthcare, industrial, real estate, technology & business services, telecommunications & media and transportation.

At Carlyle, we know that diverse teams perform better, so we seek to create a community where we continually exchange insights, embrace different perspectives and leverage diversity as a competitive advantage.

That is why we are committed to growing and cultivating teams that include people with a variety of perspectives, people who provide unique lenses through which to view potential deals, support and run our business.

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