Compliance Associate

KSL CAPITAL PARTNERS – Compliance Associate – Denver, CO

Firm Overview:

KSL Capital Partners, LLC (“KSL”) is a leading global private equity firm specializing in travel and leisure enterprises. KSL specializes in investments across five primary sectors: hospitality, recreation, clubs, real estate, and travel services. KSL has approximately $25 billion of assets under management across its equity, debt, and tactical opportunities funds and has completed over 185 investments since 2005. These investments include some of the premier businesses and properties in travel and leisure globally.  Today, KSL has offices in Denver, Colorado; Stamford, Connecticut; New York City, New York; and London, England.

To learn more about the firm, please visit https://kslcapital.com/.

Role:

KSL is seeking a full-time Associate to join our Compliance Team. This Associate will work in the Legal & Compliance Department, under the direction of the Chief Compliance Officer, to help maintain the firm’s compliance program and drive adherence with applicable laws, regulations, and best regulatory practices. In addition to the Chief Compliance Officer, this individual will collaborate daily with colleagues across the firm’s operational areas.

Ideal candidates have broad experience with the Investment Advisers Act of 1940 and an eagerness to play an active role in driving efficiencies in our regulatory compliance program, developing expertise in Compliance testing, systems, and practices, and are driven to grow within a tight-knit, collaborative team with an established SEC-registered investment adviser.

Responsibilities:

• Testing and Audits – Coordinate and execute compliance testing, including collecting and analyzing data from internal systems to assist with compliance forensic reviews, and recommend corrective actions to strengthen compliance controls.
• Code of Ethics - Assist with Code compliance and employee preclearance requests, including outside business activities, political contributions, personal trading, gifts and entertainment, etc.
• AML/KYC – Assist with the implementation, review and ongoing oversight of the firm’s AML/KYC program, including data entry, research and escalation of relevant action items.
• Teamwide Tasks – Support firmwide compliance operations, day-to-day workflow, including ad hoc requests/matters that arise.
• Special Assignments – Perform other compliance department related duties as directed by the Chief Compliance Officer
• Systems – Become a proficient user of the firm’s compliance management systems and technologies
• Research – Assist the Chief Compliance Officer in staying up to date with developments in the regulatory landscape, both through regulator releases and emerging industry best practices.

Desired Skills & Experience:

• Highest standard of personal and professional ethics and integrity
• A firm grasp of an investment advisory firm’s regulatory requirements
• A firm grasp of the U.S. Securities and Exchange Commission’s Investment Advisers Act of 1940
• Strong written and oral communication skills, as well as keen attention to detail
• Strong analytical, multitasking, and organizational skills
• Proactive with an ability to work both independently and in a team environment
• Self-motivated to enhance their understanding of rules and best practices
• Strong Excel skills and proficiency in MS Office & Microsoft 365 (Word, PowerPoint, Outlook, SharePoint, Teams) expected.
• Experience with automated compliance systems, ComplySci being a plus

Minimum Qualifications:

• Bachelor’s degree; preferably in accounting, finance, business, pre-law, or data analytics 
• 3-5 years of experience working in the compliance department of an investment advisory firm or at a regulatory compliance consultancy, experience working for the SEC would be highly valued

The above statements are intended to describe the general nature and level of work performed by employees assigned to this classification. The statements are not intended to be an exhaustive list of all job duties performed by employees assigned to this classification.