Compliance Associate, Broker-Dealer Job at Vista Equity Partners, Austin, TX

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  • Vista Equity Partners
  • Austin, TX

Job Description

Job Summary

Vista Equity Partners (“Vista”) is seeking to hire a highly accountable and diligent Associate, who will work with the Fund Formation and Broker-Dealer entity to support Vista’s marketing and investor on-boarding functions. Areas of responsibility will include, but are not limited to, (1) provide dedicated support to the Fund Counsels in all areas of fund formation processes (2) spearhead the organization and maintenance of all Vista fund formation and related documentation, (3) perform FINRA and RIA related approval processes for Vista’s internal sales and other investor tracking platforms, (5) perform FINRA and RIA compliance  reviews of fundraising and other marketing materials and (6) prepare AML certifications and work with investors and fund administrator on review and follow-up of Vista risk review of potential investors and completion of AML procedures during on-boarding.   

Successful candidates will possess a high level of personal accountability, a strong work ethic, strong organizational skills, and the ability to work as a part of a team or individually with limited supervision. This is a highly visible and impactful role that will require excellent communication skills and a professional demeanor. This role will report to both the CCO of the Broker-Dealer and Vista’s co-Senior Fund Counsels and can be based in San Francisco, CA; Chicago, IL, Austin, TX or New York, NY and is for an immediate start.

Responsibilities

  • Spearhead implementing and maintaining a best-in-class marketing and investor on-boarding experience, which will include, but not be limited to:
    • Assisting in the drafting, updating, and revision of Firm policies and procedures
    • Performing anti-money laundering and anti-corruption diligence reviews and supporting AML/KYC processes
    • Assisting with marketing materials review, including fund-related materials and presentations used in fundraising, firm events, and conferences
    • Supporting preparation and submission of regulatory filings as needed
  • Standardize and maintain proper record keeping of:
    • Vista fund and other compliance-related documentation (including, but not limited to, partnership agreements, side letters, formation and ancillary fund documents, placement agent agreement, and transfer agreements) including ensure all relevant fund documentation is uploaded to side letter/legal document management tool; and
    • marketing materials and diligence materials in connection with fundraising (i.e., work product from the various investor relations personnel) or post-fundraising investor requests (i.e., work product from investor relations personnel, including ongoing investor reporting).
  • Spearhead initial investor pre-approval process via online sales tracking platform.
  • Coordinate marketing material review, including fund-related materials, investor requests, and presentations used in fundraising, firm events, and conferences
  • Prepare initial drafts of form-based AML Letters.
  • Perform testing and annual diligence for the Firm’s AML processes that are contracted with outside service providers, including collecting quarterly certifications.
  • Work with the CCO of the Broker-Dealer to ensure personnel who are marketing the funds are properly registered and have completed continuing education requirements.

Qualifications

  • Bachelor’s Degree.
  • Prior experience working as a paralegal or associate at a large asset manager who is a registered adviser and broker-dealer, strongly preferred, including experience in understanding FINRA and RIA (1940 Act Adviser) rules and regulations.
  • Ability to work in a fast-paced and dynamic environment with changing requirements.
  • Strong organizational, analytical, written, and verbal communication skills.
  • Excellent interpersonal skills, client service orientation, and a team-player mindset.
  • Outstanding time management, organization, and prioritization skills. Ability to own projects from start to finish with minimal guidance with great attention to detail.

Job Tags

Immediate start,

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