New Job 2023 Coordinator/Analyst, Compliance In New York

COORDINATOR/ANALYST, COMPLIANCE

The Riverside Company is a global private equity firm with over $13 billion in assets under management and an international portfolio of more than 140 portfolio companies. Riverside started as a one-person operation in 1988 and has grown to include offices in North America, Europe and the Asia-Pacific region staffed with more than 350 professionals. The firm invests across three core strategies - private equity, flexible capital and private credit. Riverside has a fast-paced environment and a culture of openness. For more information, visit www.riversidecompany.com.

The Riverside Company is committed to providing equal opportunity for all qualified applicants and embraces the diversity of its people and encourages women and minorities to apply. In compliance with federal law, all persons hired will be required to verify identity and eligibility to work in the United States.

Job Function

The Compliance Coordinator/Analyst will work out of Riverside’s New York office, directly with the General Counsel/Chief Compliance Officer and Compliance team. The Compliance Coordinator/Analyst will assist with all matters of regulation and compliance at the firm. Responsibilities may include: monitoring compliance processes; assisting with conducting reviews and forensic testing; monitoring compliance policies and procedures; assembling compliance reports and certifications for internal and external consumption; assisting with preparing various regulatory filings; maintaining a compliance calendar and addressing regulatory changes as needed; liaising with various groups within the firm and various external service providers; and providing other ad hoc compliance support as required. The job responsibilities may be changed or expanded at will and are expected to expand in conjunction with experience and the firm’s needs.

Essential Functions

Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Duties, responsibilities, and activities may change at any time with or without notice.

• Monitor and test policies and procedures required under Investment Advisors Act of 1940 and Financial Conduct Authority in the UK.
• Assist with ADV and Form PF filings.
• Work and coordinate with HR to administer pre-hire compliance documents and assist with periodic compliance training.
• Monitor and track activities relating to compliance with gift policy, trading, outside business activities, speaking engagements, AML and KYC and political contributions.
• Administer quarterly and annual certification process.
• Update and maintain the Firm restricted list.
• Assist with compliance special projects, as needed.

Requirements/Skills

• Bachelor’s degree, JD preferred but not required
• 1-3 years of compliance or related work experience, preferably in the investment management space
• Excellent interpersonal and collaborative skills necessary to engage effectively with colleagues globally
• Ability to work in a fast paced, collaborative, team environment
• Capability to multi-task and adhere to deadlines
• Ability to successfully interact with various levels of management both internal and external to Riverside
• Strong work ethic and organizational skills
• High degree of integrity and discretion when handling confidential material
• Proficient in Excel and other MSOffice skills
• Professional demeanor
• Punctual and dependable
• Energetic team player, with a strong desire for continuing education and a willingness to learn.

Reporting Structure

• Reports to General Counsel & Chief Compliance Officer
• No direct reports

Office Location

• New York (Hybrid)

Riverside offers a competitive total rewards package with a salary range of $70,000-$80,000, plus annual bonuses, robust benefits, and generous Paid Time Off (PTO).