Assist with developing new policies, procedures, and technological upgrades to meet increasing regulatory demands and growth in the business
Work with various business unit representatives to incorporate compliance requirements into business processes
Assist with oversight of service providers, support Reg S-P privacy and data protection controls and participate in incident response and escalation as needed
Assist with Form ADV Parts 1 and 2, Form PF, and other filings
Support SEC examinations and regulatory enquiries, including document production and response coordination
Work closely with the Audax Private Equity investor relations team to create, review, and approve marketing materials and investor communications for multiple product lines
Other ad hoc projects and special tasks related to compliance matters, as needed
REQUIREMENTS/QUALIFICATIONS:
BA or BS degree required/JD Preferred
3 to 5 years of compliance experience within the financial services space, preferably with private fund advisor experience
Professional maturity and ability to engage effectively at all levels, including with senior management
Experience with compliance testing, monitoring and marketing material review preferred
Ability to work independently and as part of a team, while effectively collaborating and communicating to coordinate workload, priorities, initiatives, and regulatory interpretations
Sound judgment in a fast-paced, deadline driven environment, with the ability to prioritize time sensitive projects
Detail oriented, organized, and analytical, with strong issue spotting and execution skills
Motivated self-starter with a willingness to "roll up your sleeves" and identify opportunities for enhancement
Clear and effective written and oral communicator
Consensus builder with demonstrated self-awareness, humility, and ability to learn and adapt
Pragmatic approach that balances regulatory and policy standards with business practice
Relationship builder with partners throughout the organization and external to the organization
Flexibility and a willingness to take on new, varied and cross functional projects
Ability to be in office 4 days per week, with some flexibility as needed.
OTHER DUTIES:
This job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee. Duties, responsibilities and activities may change or new ones may be assigned at any time with or without notice.
Location: Boston, MA with 4 days a week in the office
This job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities
Benefits
Health insurance401(k)Paid time offEquity / stock optionsParental leave
Additional Information
Founded in 1999, Audax Group is a leading alternative investment manager with offices in Boston, New York, San Francisco, London and Hong Kong. With approximately $42 billion of assets under management and more than 475 employees, Audax is a leading capital partner for middle market companies, operating through three business lines: Audax Private Equity, Audax Private Debt, and Audax Strategic Capital.
For more information, visit the Audax Group website www.audaxgroup.com. or follow us on LinkedIn .
POSITION SUMMARY:
Seeking a detail oriented Senior Compliance Analyst/Compliance Counsel for a newly created position supporting all aspects of Audax Private Equity's compliance program. Reporting directly to the CCO, the Senior Compliance Analyst will work closely with members of the Audax Private Equity investor relations, accounting, and investment teams. The Senior Compliance Analyst will be an integral part of the Audax compliance team, based in Boston and New York.
Audaxgroup · Boston, MA