Associate, Private Equity Compliance

Associate, Private Equity Compliance

Vista Equity Partners (“Vista”) is seeking to hire a Compliance Analyst or Associate (subject to experience) to support Vista’s Private Equity Compliance program. This individual will proactively assist in identifying and containing compliance risk, foster a business-oriented compliance function, and help the organization embrace compliance.

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 is for an immediate start and based in New York, NY or San Francisco, CA.

Responsibilities

• Conduct ongoing internal testing to assess the effectiveness of Vista’s policies and procedures, identify potential enhancements, and help ensure adherence to regulatory requirements.
• Coordinate with external compliance consultants on periodic reviews; assist with document requests and participate in interviews with key business partners to provide accurate and thoughtful responses.
• Support the Compliance Team in preparing and filing required regulatory filings, including Form ADV, Form 13F, Form PF, CFTC filings, etc., as well as assist with proxy voting oversight.
• Partner with Vista’s investor relations and marketing teams to review and approve marketing materials and social media communications to ensure compliance with the SEC’s Marketing Rule.
• Assist with SEC examinations and regulatory inquiries, including document collection, coordination across internal teams, and drafting responses.
• Conduct independent research and analysis on compliance and regulatory developments relevant to private fund advisers.
• Perform other ad hoc projects and initiatives to support the broader Compliance Team.

Qualifications

• Bachelor’s Degree
• 3-4 years of experience in a compliance or related role at a registered investment adviser or broker dealer preferred.
• Ability to work in a fast-paced and dynamic environment with changing priorities.
• Strong organizational, analytical, written, and verbal communication skills.
• Excellent interpersonal skills and client service.
• Excellent time management, organization, and prioritization.
• Ability to work as a part of a team or individually with limited supervision is highly essential.
• Working knowledge of compliance testing, SEC Rule 206(4)-7, and SEC and FINRA marketing rules is also highly desired.

The pay range for this role is expected to be between $110,000 - $150,000. Actual base pay could vary based on factors including but not limited to experience, subject matter expertise, geographic location where work will be performed and the applicant’s skill set. The base pay is just one component of the total compensation package for employees. Other components may include an annual cash bonus and a comprehensive benefits package.

Company Overview

Vista is a leading global investment firm that invests exclusively in enterprise software, data and technology-enabled organizations across private equity, credit, public equity and permanent capital strategies. The firm brings an approach that prioritizes creating enduring market value for the benefit of its global ecosystem of investors, companies, customers and employees. Vista’s investments are anchored by a sizable long-term capital base, experience in structuring technology-oriented transactions and proven, flexible management techniques that drive sustainable growth. Vista believes the transformative power of technology is the key to an even better future – a healthier planet, a smarter economy, a diverse and inclusive community and a broader path to prosperity. Further information is available at vistaequitypartners.com. Follow Vista on LinkedIn @Vista Equity Partners or Twitter @Vista_Equity.

Key skills/competency

• Regulatory Compliance
• SEC Filings (ADV, 13F, PF)
• Compliance Testing
• Risk Management
• Marketing Rule (SEC 206(4)-7)
• FINRA Rules
• Private Equity Funds
• Regulatory Research
• Internal Controls
• Financial Regulations