Junior Compliance Officer

What it's about

 

Partners Group’s Compliance business unit is responsible for ensuring that the firm complies with all applicable regulatory requirements and protecting the firm from regulatory and reputational risks. The Regulatory Compliance team Americas manages the compliance program for Partners Group's SEC Registered Investment Advisers, multiple SEC Registered Investment Companies, a Canadian affiliate and regulated activities in the Cayman Islands. The team's responsibilities include oversight of 4 offices in the US offices in Brazil and Canada, over 400 employees and all marketing and distribution activities in the western hemisphere. The Regulatory Compliance team Americas also assists in implementing Partners Group's overall global compliance framework.   

 

Responsibilities 

 

• Serve as key Regulatory Compliance resource for Partners Group with respect to employee Code of Ethics  related questions and adherence with regulatory standards and internal requirements  

• Work with the team to develop, implement and maintain compliance policies and procedures 

• Assist in the implementation of the regional compliance program 

• Drafting and reviewing periodic compliance reports and assisting with compliance testing and controls 

• Support with SEC regulatory filings and reporting such as Form ID, Form Ds, Section 13 and 16 filings and State level blue sky filings. 

• Research key considerations relevant to specific clients, products and jurisdictions in the Americas 

• Support with the firm’s books and records maintenance  

• Support compliance oversight of business development, distribution and marketing efforts  

• Support with the review and monitoring of regulatory developments (including US Securities Law) and their applicability to the business 

 

 

What we expect

 

• 1-3 years of relevant work experience in public markets and/or asset management 

• Bachelor's Degree 

• General knowledge of the Investment Advisers Act of ‘40, Investment Company Act of ‘40, Securities Act of '33, FINRA Regulations and applicable US Securities Law is required 

• General understanding of and experience with private funds (structure and regulations) is strongly preferred. 

• Possess the necessary skillset to quickly learn new technologies and the analytical skills required to drive 

critical issues to resolution within a global compliance team and collaboration with other internal stakeholders.  

• Team player and collaborative approach is a must 

• Self-motivated, proactive, intellectually curious individual with strong desire to learn and succeed 

• Excellent analytical, interpersonal and project & task management skills to manage multiple projects at any one time 

 

What we offer

 

Partners Group is a global firm focused on delivering high quality private markets investments via bespoke portfolio solutions that meet the needs of our clients. As a growing firm, we are committed to attracting, developing and retaining the very best talent, by offering a workplace where results are truly recognized and rewarded.

Our offerings include:

• Professional, international, and high-performing work-environment 
• Challenging, rewarding career within a growing company
• Collaborative environment, with on-the-job training and mentorship opportunities
• Competitive benefits and wellness package, including medical, dental and vision coverage
• 401k (Roth and pre-tax options) with company-match
• 25 vacation days, and 13 holidays annually
• One-month sabbatical after every five years of service
• Company paid life and disability insurance
• Education assistance program
• Lunch stipend
• Partners Group compensation has a long-term outlook and philosophy, and our total compensation emphasizes performance based long term incentives. Base pay range for this role is $105,000-115,000, and a performance-based bonus are additional parts of the total compensation package

 

 

www.partnersgroup.com

 

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