We are global private markets specialists delivering tailored investment solutions, advisory services, and impactful, data driven insights to the world’s investors. Leveraging the power of our platform and our peerless intelligence across sectors, strategies, and geographies, we help identify the advantages and the answers our clients need to succeed.
Position Overview
The Compliance Associate will assist with respect to various aspects of administering the Compliance program. The Compliance Associate will, among other items, review and approve RFP and DDQ requests from clients and prospects for regulatory compliance, assist with marketing review, support the development, implementation and enforcement of departmental policies and procedures; assists with managing the compliance calendar, assists regulatory filings, and actively participate in helping to execute Stepstone’s compliance program for the registered investment advisers and applicable products and services.
Essential Job Functions
- The Compliance Associate will assist with respect to various aspects of administering the Compliance program. The Compliance Associate will, among other items, review and approve RFP and DDQ requests from clients and prospects for regulatory compliance, assist with marketing review, support the development, implementation and enforcement of departmental policies and procedures; assists with managing the compliance calendar, assists regulatory filings, and actively participate in helping to execute Stepstone’s compliance program for the registered investment advisers and applicable products and services.
Education and/or Work Experience Requirements
- Bachelor’s Degree or relevant experience
- Minimum of 2 years of compliance or regulatory experience with a financial institution
- Exposure to the federal securities laws, including, but not limited to, the Investment Advisers Act of 1940, Investment Company Act of 1940
Following Relevant Experience is a plus
- Experience with an asset management firm with exposure to alternative investments and private markets
- Knowledge of investment products, financial markets, and investment concepts
- Experience with AML/KYC, including Office of Foreign Assets Control ("OFAC") checks
- Experience with regulatory examiners for financial institutions (responding to regulatory requests, producing documents and/or assisting with respect to examinations)
- Experience researching and interpreting laws and regulations, preferably in a financial institution
Required Knowledge, Skills, and Abilities
- Strong organizational and project management skills
- Strong individual contributor with the ability to work effectively as a member of a growing team
- Well-developed interpersonal skills with an ability to establish credibility and to interact with employees throughout the organization, in addition to external advisors
- Excellent verbal and written communication skills
- Ability to effectively communicate regulatory rules and requirements
- Communicate accurate and timely information to key stakeholders
- Handle moderately complex issues and problems and refer more complex issues to senior Compliance team members
Other Attributes
- Self-starter, highly organized, analytical, detail oriented
- Exhibit professionalism, integrity, openness and respect
- Culture carrier for Compliance team values
- Strong work ethic and excellent interpersonal skills
Salary: $90,000 - $100,000
The salary range is an estimate of pay for this position. Actual pay may vary depending on job-related factors that can include location, education, skill, and experience. The salary range does not include any benefits or other forms of possible compensation that may be available to employees.
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At StepStone, we believe that our people are our most important asset and crucial to our success. We are an Equal Opportunity Employer that strives to create an environment that empowers our employees and allows them to be heard, regardless of title or tenure. Our organizational community features multiple Employment Resource Groups as well as mentorship programs to enhance the employee experience for all.
As an Equal Opportunity Employer, StepStone does not discriminate on the basis of race, creed, color, religion, sex, national origin, citizenship status, age, disability, marital status, sexual orientation, gender identity, gender expression, genetic information or any other characteristic protected by law.
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