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Analyst, Compliance

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 Analyst role to join Pantheon’s New York office, reporting to a Senior Associate, Compliance Officer. The overall purpose of this role is to assist with the work undertaken by the compliance team globally.

Key Responsibilities:

  • Global Compliance Monitoring Program – assist with the testing of the firm’s adherence to regulatory guidelines and policies & procedures, including applicable reporting of results to Pantheon’s boards
  • Assisting in the AML/KYC checks of new investors; preparing 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, FCA, SFC, and FINRA filings for the discretionary investment management, non-discretionary investment advisory & Broker Dealer entities)
  • Assistance with the review & recordkeeping of marketing material
  • Assist in maintaining and updating policies and procedures
  • Compliance recordkeeping associated with adherence to the Global Code of Ethics – personal trading, outside business activities, gifts & entertainment, etc.
  • Review of Regulatory Developments/Notices relevant to the Pantheon group
  • Coordinate with internal groups (tax, finance, operations, human resources, marketing, client services 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.)
  • Ensure compliance with relevant laws, regulations and Pantheon policy (including reporting compliance risks and maintaining appropriate standards of conduct

Knowledge & Experience Required:

  • Proficient in Microsoft Office (Word, Excel, PowerPoint, Outlook, etc) and Adobe Pro and PDF editing skills
  • Attention to detail, approach work methodically
  • Willingness to learn, ask questions and seek information forma a global perspective, proactive approach, a desire to solve problems 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

Knowledge & Experience preferred but not essential 

  • Work / Internship experience in a legal team at a law firm and/or in a fast-pace in-house legal and/or compliance department
  • Experience with private equity or other alternative investments or asset management is a plus
  • Experience supporting Investment Advisors with the SEC and/or broker dealer registered with the Financial Industry Regulatory Authority (FINRA) a plus
  • Experience with WebCRD a plus (entering U-4/U-5)
  • Work / Internship experience in a legal team at a law firm and/or in a fast-pace in-house legal and/or compliance department
  • Experience with private equity or other alternative investments or asset management is a plus
  • Experience supporting Investment Advisors with the SEC and/or broker dealer registered with the Financial Industry Regulatory Authority (FINRA) a plus
  • Experience with WebCRD a plus (entering U-4/U-5)

 

Expected base salary range:  $70,000 - $80,000

Actual base salary is determined by a range of factors including individual experience, skills and qualifications. 

In addition to the above salary, Pantheon offers a generous employee benefits package and successful candidates are eligible to receive a discretionary bonus

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.

 

 

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