Compliance Analyst

Simon ComplianceWinnetka, Illinois | September 20, 2022

The Company

Founded in 2010, Simon Compliance has grown to be a best-in-class boutique securities compliance firm that partners with private equity and financial service firms. With ~10 team members, Simon leverages decades of practical legal and financial industry experience to identify compliance shortcomings and implement unique, customized solutions for Private Equity funds, Real Estate funds, Venture Capital funds, and Investment Advisory firms. Simon’s basic services include but are not limited to; registration with the SEC, creation or revision of compliance policies and procedures, assistance with regulatory filing obligations including Form ADV and Form PF, annual reviews, creation of a forensic testing program, and compliance training.

The Role

To support its growing client base, Simon Compliance seeks a Compliance Analyst to partner directly with Private Equity firms on a broad range of projects. Joining the team in high-growth mode, the Compliance Analyst will also have the opportunity to get involved in broader firm-building activities. The position will be based remotely and will report to the founder and CEO, Lindsey Simon.

Experience & Requirements

• At least 2+ years of professional experience across the financial and legal services industry; Experience within the Private Equity or Venture Capital space is strongly preferred.
• Bachelor’s degree in Law, Accounting, Finance, Statistics, Business, or a related discipline required.
• Solid understanding of SEC registration, RIA process, financial statements such as NAV, and regulatory filing obligations such as Form ADV and Form PF.
• Proven track record of conducting annual compliance reviews; underwriting compliance policies and procedures. Able to implement forensic testing programs, and compliance training programs.
• Strong financial, quantitative, and analytical skills. Advanced Microsoft Office Suite skills, including Word and Excel.
• Ability to translate complex topics, policies, or rules within the compliance function to external constituencies within the finance function and the non-financial staff.
• Displays a high level of problem-solving skills; invites, challenges, and explores new ideas while understanding and communicating risks.
• Naturally inclusive and collaborative across a full range of internal stakeholders; proactive and reliable in nature; wired for a fast-paced environment. Passionate about the client-services space.

Application Information

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Additional Questions

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