Private Equity Compliance Associate
Key Responsibilities will include:
? Assist in monitoring large equity positions (including convertible debt positions) of publicly traded issuers
? Assist in removing names from the Restricted List (discuss authority to modify restrictions and clear trades)
? Assist in adding names to the BX Approved List
? Assist with Cross Trade/Principal Trade issues
? Assist with documentation and resolution of trade errors/Investment Restrictions breaches
? Attend all Hedge Fund Meetings
? Respond to inquiries regarding Restricted List entries
o Clarifications on notes/comments
o Section 13, 16 and Form 144 filings
? Respond to questions regarding settlement documents such as settlement documents, assignment and
assumption documents and equity subscription documents (QIB status, basic reps contained in documents,
flag tag issues to be redirected to Tax group)
? Large Trader Filings
? Forensic Testing (SEC tests)
? European Short Filings
? Maintain list of Directorships/Committees
? Blotter Review
o Confirm Allocations
o Review Blotter Notes
Our client seeks to hire individuals who are highly motivated, intelligent and have demonstrated excellence in
prior endeavors as well as:
? Ideal candidate has 4-5 years of experience
? Trading desk experience preferred
? Superior academic achievement
? Strong analytical skills and detailed oriented
? Ability to work in a fast paced, dynamic environment and to handle multiple projects at a time
? A self-starter, but with the ability to work effectively as part of a team
? Confident and self-aware with excellent interpersonal and communication skills, both written and
verbal
? Strong work ethic; genuine passion for excellence; results-
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