Responsibilities- Serve as key Regulatory Compliance resource for Partners Group private market business in the Americas, providing day-to-day compliance support and helping ensure alignment with applicable regulatory requirements and global policies.
- Support the SEC-registered investment adviser compliance program through oversight of the execution and continuous enhancement of policies, procedures, and controls under Rule 206(4)-7 of the Investment Advisers Act of 1940, as well as other applicable federal and state securities laws and regulations.
- Assist in the management of the regional compliance program including partnering with and supporting senior members of the Compliance team on key initiatives, ongoing monitoring, and remediation efforts.
- Assist in monitoring, interpreting, developing and implementing US Securities law requirements as they apply to the firm's business activities, products, and client relationships.
- Assist with the preparation, review, and submission of regulatory filings such as Form ADV, Form PF and other federal securities law filings.
- Identify and address regulatory risk areas through ongoing monitoring, targeted reviews, and recommendations for policy, process, and control enhancements.
- Research key considerations relevant to specific clients, products and jurisdictions in the Americas, including strategic initiatives to support business development efforts.
What we expect- 3-5 years of relevant work experience in registered funds, private markets and/or asset management
- Bachelor's Degree.
- Knowledge of the Investment Advisers Act of '40, Investment Company Act of '40, Securities Act of '33, and applicable US Securities Law is required.
- General understanding of private funds (structure and regulations) is required.
- Working knowledge of U.S. securities laws and regulations applicable to marketing and advertising, including the Investment Advisers Act of 1940, the SEC Marketing Rule, and FINRA advertising rules.
- FINRA Series 7 and Series 24 and Series 63 licenses preferred.
- Possess the necessary skillset to quickly learn new technologies and the analytical skills required to drivecritical issues to resolution within a global compliance team and collaboration with other internal stakeholders.
- Team player and collaborative approach is a must.
- Self-motivated, proactive, intellectually curious individual with strong desire to learn and succeed.
- Excellent analytical, interpersonal and project & task management skills to manage multiple projects at any one time.
What we offerPartners Group is a global financial institution that retains the culture, pace and agility of a start-up. As a growing firm, we are committed to attracting, developing and retaining the very best talent, by offering a workplace where results are truly recognized and rewarded.
Our offerings include:
- Professional, international, and high-performing work-environment
- Challenging, rewarding career within a growing company
- Collaborative environment, with on-the-job training and mentorship opportunities
- Competitive benefits and wellness package, including medical, dental and vision coverage
- 401k (Roth and pre-tax options) with company-match
- 25 vacation days, and 13 holidays annually
- One-month sabbatical after every five years of service
- Company paid life and disability insurance
- Education assistance program
- Lunch stipend
- Domestic and international events, including offsites and volunteer opportunities
- Partners Group compensation has a long-term outlook and philosophy, and our total compensation emphasizes performance based long term incentives. Base pay range for this role is $130,000 - $160,000 and a performance-based bonus are additional parts of the total compensation package.
Make an impact on the organization by taking a leading role in the growth of our US business. Our working environment is humble, inclusive and transparent; the structure of the firm is flat.
At Partners Group, we thrive on new ideas for the benefit of our clients, our employees and our communities.
