Back to jobs

Compliance Senior Associate

New York, New York, United States

Pantheon has been at the forefront of private markets investing for more than 40 years, earning a reputation for providing innovative solutions covering the full lifecycle of investments, from primary fund commitments to co-investments and secondary purchases, across private equity, real assets and private credit.

We have partnered with more than 650 clients, including institutional investors of all sizes as well as a growing number of private wealth advisers and investors, with approximately $65bn in discretionary assets under management (as of December 31, 2023).

Leveraging our specialized experience and global team of professionals across Europe, the Americas and Asia, we invest with purpose and lead with expertise to build secure financial futures.

For further details please visit www.pantheon.com

Purpose of Position:

This is a permanent in-house Compliance Officer role in Pantheon’s New York office, reporting to the Head of Compliance, Americas. The overall purpose of this role is to assist with the work undertaken by the compliance team in the US & globally.

Key Responsibilities: 

  • Knowledge of SEC & FINRA marketing rules, including independent review of Marketing Material. Knowledge of these rules in private wealth markets in addition to institutional is a plus
  • Independent review of incoming alerts & maintenance of the ACA Compliance Alpha system to support independent assessment of compensability for approving personal account trading, gifts & entertainment, and outside business interests.  Investigate alerts (such as those related to Fees & Expenses) and escalate accordingly. Provide memos related to key findings for review by Senior Compliance personnel / Senior Management
  • Global Compliance Monitoring Program – independently conduct testing of the firm’s adherence to regulatory guidelines and policies & procedures, including applicable reporting of results to Pantheon’s boards.
  • Assist with the onboarding of new investors, including coordination with our 3rd party provider (ID Register) for the AML/KYC checks of new investors; prepare KYC certifications of new investors and draft letters of introduction to third parties
  • Collate information and assist in the preparation of routine regular and ad-hoc regulatory reporting, including filings to regulators (SEC and FINRA, {FCA, SFC, CBI a plus}  for the discretionary investment management, non-discretionary investment advisory & Broker Dealer entities)
  • Prepare materials for US and Global Board reporting/submission
  • Manage and assist with global Compliance projects
  • Draft, maintain and update policies and procedures
  • Develop and deliver Compliance training, including new hire training
  • Assist with PSL (broker dealer) monthly metrics (monitoring and testing program) & other regular reporting/oversight for the BD entity for submission to senior management
  • Compliance recordkeeping associated with adherence to the Global Code of Ethics – personal trading, outside business activities, gifts & entertainment, etc.
  • Assist with the global recordkeeping of outsourced electronic communication reviews. Investigate flagged communications accordingly.
  • Review of Regulatory Developments/Notices relevant to the Pantheon group & writing entries for the Pantheon internal Legal, Regulatory and Tax updates
  • Coordinate with internal groups (tax, finance, operations, human resources, marketing, investor relations and investment teams)
  • General administrative and routine tasks (e.g., filing, upkeep of various recordkeeping logs including but not limited to Training, Conflicts of Interest, Breaches & Errors / Disciplinary Log, Restricted List, Registrations, etc.)
  • Regular interface with internal and outside counsel/consultants/service providers regarding regulatory matters
  • Additional tasks at the request of the Head of Compliance, Americas

Qualifications, Knowledge & Experience Required:

  • Proficient in Microsoft Office (Word, Excel, PowerPoint, Outlook, Teams, OneNote, etc.) and Adobe Pro
  • Attention to detail, approach work methodically
  • Willingness to learn, ask questions and seek information from US and global perspective, proactive approach, a desire to solve problems (such as reviewing regulatory trends / new rules for potential firm impact) and improve process
  • Cooperative demeanor, ability to work with different personalities, excellent communication skills and team-player
  • Good organizational skills and ability to prioritize workflow
  • Strong time management skills, including the ability to work independently and to work on several projects simultaneously
  • Good timekeeping and prepared to work flexibly on different types of projects to meet the needs of the business
  • Bachelor’s degree

Qualifications, Knowledge & Experience Preferred, but Non-Essential:

  • 4-6 years’ experience in Compliance with private equity or other alternative investments or asset management is a plus
  • Familiarity with the rules/onboarding of private wealth investors into private market products, including registered 40 Act funds and private funds is a plus
  • FINRA licenses Series 7, 63, 24 a plus; will be required within 6 months of hire
  • Experience supporting Investment Advisors registered with the SEC and/or broker dealer registered with the Financial Industry Regulatory Authority (FINRA); (FCA and CBI a plus)  
  • Experience with ACA Compliance Alpha or similar platform

This role is paying in the region of $140,000 -$150,00 per annum. Alongside Pantheon's wider employment benefits.

This job description is not to be construed as an exhaustive statement of duties, responsibilities, or requirements. You may be required to perform other job-related duties as reasonably requested by your manager.

Pantheon is an Equal Opportunities employer, we are committed to building a diverse and inclusive workforce so if you're excited about this role but your past experience doesn't perfectly align we'd still encourage you to apply.

 

 

Apply for this job

*

indicates a required field

Resume/CV*

Accepted file types: pdf, doc, docx, txt, rtf

Education

Select...
Select...
Select...
Select...

Voluntary Self-Identification

For government reporting purposes, we ask candidates to respond to the below self-identification survey. Completion of the form is entirely voluntary. Whatever your decision, it will not be considered in the hiring process or thereafter. Any information that you do provide will be recorded and maintained in a confidential file.

As set forth in Pantheon Ventures Careers’s Equal Employment Opportunity policy, we do not discriminate on the basis of any protected group status under any applicable law.

Select...
Select...
Race & Ethnicity Definitions

If you believe you belong to any of the categories of protected veterans listed below, please indicate by making the appropriate selection. As a government contractor subject to the Vietnam Era Veterans Readjustment Assistance Act (VEVRAA), we request this information in order to measure the effectiveness of the outreach and positive recruitment efforts we undertake pursuant to VEVRAA. Classification of protected categories is as follows:

A "disabled veteran" is one of the following: a veteran of the U.S. military, ground, naval or air service who is entitled to compensation (or who but for the receipt of military retired pay would be entitled to compensation) under laws administered by the Secretary of Veterans Affairs; or a person who was discharged or released from active duty because of a service-connected disability.

A "recently separated veteran" means any veteran during the three-year period beginning on the date of such veteran's discharge or release from active duty in the U.S. military, ground, naval, or air service.

An "active duty wartime or campaign badge veteran" means a veteran who served on active duty in the U.S. military, ground, naval or air service during a war, or in a campaign or expedition for which a campaign badge has been authorized under the laws administered by the Department of Defense.

An "Armed forces service medal veteran" means a veteran who, while serving on active duty in the U.S. military, ground, naval or air service, participated in a United States military operation for which an Armed Forces service medal was awarded pursuant to Executive Order 12985.

Select...

Voluntary Self-Identification of Disability

Form CC-305
Page 1 of 1
OMB Control Number 1250-0005
Expires 04/30/2026

Why are you being asked to complete this form?

We are a federal contractor or subcontractor. The law requires us to provide equal employment opportunity to qualified people with disabilities. We have a goal of having at least 7% of our workers as people with disabilities. The law says we must measure our progress towards this goal. To do this, we must ask applicants and employees if they have a disability or have ever had one. People can become disabled, so we need to ask this question at least every five years.

Completing this form is voluntary, and we hope that you will choose to do so. Your answer is confidential. No one who makes hiring decisions will see it. Your decision to complete the form and your answer will not harm you in any way. If you want to learn more about the law or this form, visit the U.S. Department of Labor’s Office of Federal Contract Compliance Programs (OFCCP) website at www.dol.gov/ofccp.

How do you know if you have a disability?

A disability is a condition that substantially limits one or more of your “major life activities.” If you have or have ever had such a condition, you are a person with a disability. Disabilities include, but are not limited to:

  • Alcohol or other substance use disorder (not currently using drugs illegally)
  • Autoimmune disorder, for example, lupus, fibromyalgia, rheumatoid arthritis, HIV/AIDS
  • Blind or low vision
  • Cancer (past or present)
  • Cardiovascular or heart disease
  • Celiac disease
  • Cerebral palsy
  • Deaf or serious difficulty hearing
  • Diabetes
  • Disfigurement, for example, disfigurement caused by burns, wounds, accidents, or congenital disorders
  • Epilepsy or other seizure disorder
  • Gastrointestinal disorders, for example, Crohn's Disease, irritable bowel syndrome
  • Intellectual or developmental disability
  • Mental health conditions, for example, depression, bipolar disorder, anxiety disorder, schizophrenia, PTSD
  • Missing limbs or partially missing limbs
  • Mobility impairment, benefiting from the use of a wheelchair, scooter, walker, leg brace(s) and/or other supports
  • Nervous system condition, for example, migraine headaches, Parkinson’s disease, multiple sclerosis (MS)
  • Neurodivergence, for example, attention-deficit/hyperactivity disorder (ADHD), autism spectrum disorder, dyslexia, dyspraxia, other learning disabilities
  • Partial or complete paralysis (any cause)
  • Pulmonary or respiratory conditions, for example, tuberculosis, asthma, emphysema
  • Short stature (dwarfism)
  • Traumatic brain injury
Select...

PUBLIC BURDEN STATEMENT: According to the Paperwork Reduction Act of 1995 no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. This survey should take about 5 minutes to complete.