Compliance Analyst

About ARDIAN

Ardian is a world-leading private investment house, managing or advising $166bn of assets on behalf of more than 1,650 clients globally. Our broad expertise, spanning Private Equity, Real Assets and Credit, enables us to offer a wide range of investment opportunities and respond flexibly to our clients’ differing needs. Through Ardian Customized Solutions we create bespoke portfolios that allow institutional clients to specify the precise mix of assets they require and to gain access to funds managed by leading third-party sponsors. Private Wealth Solutions offers dedicated services and access solutions for private banks, family offices and private institutional investors worldwide. Ardian’s main shareholding group is its employees and we place great emphasis on developing its people and fostering a collaborative culture based on collective intelligence. Our 1,050+ employees, spread across 19 offices in Europe, the Americas, Asia and Middle East are strongly committed to the principles of Responsible Investment and are determined to make finance a force for good in society. Our goal is to deliver excellent investment performance combined with high ethical standards and social responsibility.

At Ardian we invest all of ourselves in building companies that last.

ardian.com

Job Purpose:

The Compliance Team is looking for a Compliance Analyst in New York to assist with the implementation of local regulations and to work within the Global Compliance Team of more than 20 employees based around the world.

The successful candidate will be expected to be able to handle topics and be part of a team solution. The candidate will be exposed to a range of both local and global regulations and is expected to have an ambition for understanding and interpreting complex topics.

The candidate will have a unique opportunity to learn about the essential business functions of an SEC regulated investment manager (Ardian US) and how it operates within the Ardian Group. They will assist in drafting and implementing the necessary policies and procedures as they relate to the regulated activity of the office.

Job Responsibilities:

• The successful candidate will be responsible for contributing to the development and effectiveness of the Firm’s compliance program and helping to oversee its execution.
• Monitor and report on relevant Code of Ethics topics, including gifts, trading accounts, outside business activities, directorships, etc.
• Assist in preparing regulatory filings for US regulatory bodies (Form ADV, Form PF, etc.)
• Assess any regulatory developments in the United States and assist in creating policies, procedures and monitoring requirements associated with applicable regulatory developments involving the Advisers Act, Advertising Rule, etc.
• Prepare and assist with the creation of compliance reports that will be provided to senior staff on a periodic basis.
• Work as part of the Global Compliance Team, ensuring that global policies and procedures are met and followed accordingly.
• Work with various teams, promoting the development of a Compliance culture within ARDIAN to proactively raise awareness of regulatory topics and developments

Specialized business and technical knowledge:

• Strong attention to detail, analytical and independent thinker and problem solver
• Proactive and organized with an ability to work concurrently on multiple work streams

Education and Experience:

• B.A./B.S. in finance, accounting, economics or similar
• 1-3 years’ experience in the compliance and regulatory field
• Experience working at a FINRA registered broker/dealer or SEC registered investment advisor is preferred but not essential
• Experience working at a regulatory agency is preferred but not essential
• Understanding of valuation methodologies and various accounting principles is a plus

Communication Scope:

• Good technical skills and a broad range of compliance capabilities across a range of areas
• Must be a team player, able to communicate well within the team and with other teams
• Ability to challenge independently and constructively to achieve our goals
• Ability to communicate effectively, orally and in writing at all levels of the organization
• Capability to work autonomously and tackle issues and ability to know when to escalate accordingly

Equal Employment Opportunity Policy

At ARDIAN, we are proud of our diverse culture. As a forward-thinking organization, we recognize that having people from different backgrounds brings innovation and excellence. Therefore, a diverse and inclusive environment is key to our business success. ARDIAN is committed to providing equal employment opportunities to our employees, applicants and candidates based on individual qualifications, without regard to race, color, religion, gender, gender identity and expression, age, national origin, mental or physical disabilities, sexual orientation, veteran or military status, genetic information, ancestry, marital status, status as a victim of domestic violence, pregnancy or child birth (including breastfeeding) or any other class protected by federal, state and local laws. It is our policy to comply with all applicable laws governing employment practices and not to discriminate on the basis of any unlawful criteria. This policy applies to all terms and conditions of your employment including, but not limited to, hiring, placement, and promotion.