Pantheon has been at the forefront of private markets investing for more than 40 years, earning a reputation for providing innovative solutions covering the full lifecycle of investments, from primary fund commitments to co-investments and secondary purchases, across private equity, real assets and private credit.
We have partnered with more than 650 clients, including institutional investors of all sizes as well as a growing number of private wealth advisers and investors, with approximately $65bn in discretionary assets under management (as of December 31, 2023).
Leveraging our specialized experience and global team of professionals across Europe, the Americas and Asia, we invest with purpose and lead with expertise to build secure financial futures.
For further details please visit www.pantheon.com
Purpose of Position:
This is a permanent in-house Compliance Officer role in Pantheon’s New York office, reporting to the Head of Compliance, Americas. The overall purpose of this role is to assist with the work undertaken by the compliance team in the US & globally.
Key Responsibilities:
- Knowledge of SEC & FINRA marketing rules, including independent review of Marketing Material. Knowledge of these rules in private wealth markets in addition to institutional is a plus
- Independent review of incoming alerts & maintenance of the ACA Compliance Alpha system to support independent assessment of compensability for approving personal account trading, gifts & entertainment, and outside business interests. Investigate alerts (such as those related to Fees & Expenses) and escalate accordingly. Provide memos related to key findings for review by Senior Compliance personnel / Senior Management
- Global Compliance Monitoring Program – independently conduct testing of the firm’s adherence to regulatory guidelines and policies & procedures, including applicable reporting of results to Pantheon’s boards.
- Assist with the onboarding of new investors, including coordination with our 3rd party provider (ID Register) for the AML/KYC checks of new investors; prepare KYC certifications of new investors and draft letters of introduction to third parties
- Collate information and assist in the preparation of routine regular and ad-hoc regulatory reporting, including filings to regulators (SEC and FINRA, {FCA, SFC, CBI a plus} for the discretionary investment management, non-discretionary investment advisory & Broker Dealer entities)
- Prepare materials for US and Global Board reporting/submission
- Manage and assist with global Compliance projects
- Draft, maintain and update policies and procedures
- Develop and deliver Compliance training, including new hire training
- Assist with PSL (broker dealer) monthly metrics (monitoring and testing program) & other regular reporting/oversight for the BD entity for submission to senior management
- Compliance recordkeeping associated with adherence to the Global Code of Ethics – personal trading, outside business activities, gifts & entertainment, etc.
- Assist with the global recordkeeping of outsourced electronic communication reviews. Investigate flagged communications accordingly.
- Review of Regulatory Developments/Notices relevant to the Pantheon group & writing entries for the Pantheon internal Legal, Regulatory and Tax updates
- Coordinate with internal groups (tax, finance, operations, human resources, marketing, investor relations and investment teams)
- General administrative and routine tasks (e.g., filing, upkeep of various recordkeeping logs including but not limited to Training, Conflicts of Interest, Breaches & Errors / Disciplinary Log, Restricted List, Registrations, etc.)
- Regular interface with internal and outside counsel/consultants/service providers regarding regulatory matters
- Additional tasks at the request of the Head of Compliance, Americas
Qualifications, Knowledge & Experience Required:
- Proficient in Microsoft Office (Word, Excel, PowerPoint, Outlook, Teams, OneNote, etc.) and Adobe Pro
- Attention to detail, approach work methodically
- Willingness to learn, ask questions and seek information from US and global perspective, proactive approach, a desire to solve problems (such as reviewing regulatory trends / new rules for potential firm impact) and improve process
- Cooperative demeanor, ability to work with different personalities, excellent communication skills and team-player
- Good organizational skills and ability to prioritize workflow
- Strong time management skills, including the ability to work independently and to work on several projects simultaneously
- Good timekeeping and prepared to work flexibly on different types of projects to meet the needs of the business
- Bachelor’s degree
Qualifications, Knowledge & Experience Preferred, but Non-Essential:
- 4-6 years’ experience in Compliance with private equity or other alternative investments or asset management is a plus
- Familiarity with the rules/onboarding of private wealth investors into private market products, including registered 40 Act funds and private funds is a plus
- FINRA licenses Series 7, 63, 24 a plus; will be required within 6 months of hire
- Experience supporting Investment Advisors registered with the SEC and/or broker dealer registered with the Financial Industry Regulatory Authority (FINRA); (FCA and CBI a plus)
- Experience with ACA Compliance Alpha or similar platform
This role is paying in the region of $140,000 -$150,00 per annum. Alongside Pantheon's wider employment benefits.
This job description is not to be construed as an exhaustive statement of duties, responsibilities, or requirements. You may be required to perform other job-related duties as reasonably requested by your manager.
Pantheon is an Equal Opportunities employer, we are committed to building a diverse and inclusive workforce so if you're excited about this role but your past experience doesn't perfectly align we'd still encourage you to apply.
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What We Do
Pantheon is a leading global private markets firm currently investing on behalf of more than 800 investors, including public and private pension plans, insurance companies, endowments and foundations. Pantheon has an established reputation across private market asset classes, including private equity, infrastructure and real assets, private debt and real estate, and covering all stages and geographies. As of September 30, 2021 Pantheon had $81.2 billion assets under management and advice and the firm currently has around 400 employees, including more than 115 investment professionals, located across its 10 global offices in London, San Francisco, New York, Chicago Hong Kong, Seoul, Bogotá, Tokyo, Dublin and Berlin.
