Senior Compliance Analyst - New York

New York City based Private Equity Fund Administration Firm is looking for an Senior Compliance Analyst Level to assist the Compliance Services team in all tasks related to Compliance of new and existing investors.
Administrative Functions:
  • Collect and retain all client/investor documents from various sources for AML/KYC, FATCA and CRS.
  • Maintenance and centralization of AML/KYC, FATCA and CRS documents and data. Collection and reconciliation of data for implementation of centralized database.
  • Maintain control and tracking logs for completed and open of compliance items.
  • Track statuses of key legal, compliance, and tax documents/information as needed.
  • Liaise with various internal departments (client servicing teams, operations, IT, etc.) and external parties (clients, law firms, third party service providers, etc.) 
Compliance Responsibilities: 
  • Review (Client/Investor) documents to identify and compile key information required to perform (“Compliance Services”) such as AML-KYC / FATCA. Documents include but not limited to, Private Equity subscription documents, tax forms (W-8, W-9, etc...) and other supporting AML/KYC documentation.
  • Maintain and Update Client/Investor Database with Key Compliance Information based on Compliance reviews of new and existing contracted Clients/Investors. Ensure all documentations (tax forms) are current / not expired and completed.
  • Escalation with Managing Director of Compliance of compliance review issues, open items, missing or expired documentation that need to be escalated to CS Teams, Client and/or Third Party Resources
  • Document Management – Ensure each Client Cabinet (cloud based document storage) has copies of all the results for each compliance review. Includes Batch ID and Date, Client Letters, Support Schedules, Client Reports, Client Billings, Client and Firm Services Contracts/Pricing, and Third Party Resource statements
  • Compliance Checklists – Ensure completed for each review and signed. All Steps are followed for control purposes. Review Checks and Update as needed.
  • Maintain and update Current Client list and Contracts – Specific Compliance Reviews and Pricing.  Assist in research of client data base on potential existing clients Firm can extend compliance services to.
  • Maintain Control List of Key Information/ Documents still pending and perform continuous checks, communication with Key Stakeholders, on status.
Skills & Experience:
  • Bachelor’s Degree plus 2-4 years of relative work experience.
  • Private Equity background. Must be familiar with, and able to review, Private Equity subscription documents.
  • Must be familiar with, and able to dissect, supporting AML documentation and formation documents; Trust Agreements, LP/LLC Agreements, Certificate of Formations, Article of Associations, tax documents, identification documents, etc
  • Familiarity with LexisNexis and TINCheck (optional).
  • CAMS certified (or be willing to obtain CAMS certification)
  • Strong ability to gather, track and centralized information/documents.
  • Excellent data entry and reconciliations of data, systems and ongoing maintenance.
  • Microsoft applications proficient. Strong EXCEL skills (formulas, pivot tables, VLOOKUPs).
  • Excellent verbal, written and interpersonal communication skills. Must be extremely detail oriented and highly organized.
  • Efficient time management skills and the ability to maintain control over information and documents to meet client, firm and reporting deadlines.
About The Company:
Gen II Fund Services, LLC is the largest independent, U.S. based, private equity fund administrator, covering over $275B of private capital and reporting to over 10,000 LPs on behalf of our clients. Gen II offers private equity firms the best-in-class combination of people, process and technology, enabling GPs to most effectively manage their operational infrastructure, financial reporting and investor communications. The Gen II team is the most experienced and longest tenured team in the private equity fund administration industry, with broad expertise across buyout, infrastructure, energy, credit, real estate, co-investment, hybrid funds, funds of funds, feeder funds, venture capital, and managed accounts.
Key Facts:
  • Administering over $275B in assets
  • Servicing nearly every significant investor in the asset class
  • Institutional grade infrastructure and SSAE 18 (SOC-1,Type 2) certification, ensuring confidence in our processes and operating model
  • The most experienced and best performing team in the industry
All applicants applying to Gen II Fund Services, LLC must be legally authorized to work in the United States.