What You'll Do:

Responsibilities include:

• Perform the review of private fund investor qualifications, subscription agreements, and advertising materials.
• Assist with the development of compliance policies, procedures, questionnaires, and control recommendations to help mitigate compliance risks and prevent violations of applicable rules and regulations
• Assist with compliance testing, AML, and other duties as assigned.

Who You Are:

• Bachelor's degree or equivalent experience required.
• FINRA licensing is required including the SIE or equivalent, series 7 and series 24.
• 2+ years related work experience required including some combination of compliance experience with private placements, real estate (debt and equity), fixed income or ad review.
• Excellent written and verbal communication skills, consulting skills and the ability to build strong relationships.
• Strong organizational, problem solving, and analytical skills with high attention to detail.
• Experience with Share Point Online, Microsoft Teams, and Red Oak, a plus.
• Work hours will occasionally be outside of normal business hours to support distribution efforts with international affiliates.
• Travel, including overnight stays, may be required periodically.

Salary Range Information: Salary ranges below reflect targeted base salaries. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation for all roles will be based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer. Salary Range: $63750 - $121200 / year Time Off Program: Flexible Time Off (FTO) is provided to salaried (exempt) employees and provides the opportunity to take time away from the office with pay for vacation, personal or short-term illness. Employees don’t accrue a bank of time off under FTO and there is no set number of days provided. Pension Eligible: No Additional Information:

Work Authorization/Sponsorship

Nonimmigrant Workers and Green Card for Employment-Based Immigrants

Investment Code of Ethics

Experience Principal

Principal is an Equal Opportunity Employer

Posting Window: We will accept applications for 3 full days following the Original Posting Date, after which the posting may remain open or be removed based upon applications received. If we choose to post the job again, we will accept additional applications for at least 1 full day following the Most Recently Posted Date. Please submit applications in a timely manner as there is no guarantee the posting will be available beyond the applicable deadline. Date First Posted (TTF): 9/19/2024 Latest Post Date: Careers - US: 9/19/2024