Compliance, Associate

TPG has an exciting opportunity for an Associate to join its broker-dealer Compliance team in the New York office.  Responsibilities include conducting compliance oversight of the firm’s fundraising and capital market activities and designing and implementing compliance policies, procedures, and systems to ensure that TPG and its respective platforms fulfill their legal and regulatory obligations and meet the firm’s high compliance standards. This role requires regular interaction with business, legal, and compliance personnel across the firm.

• 2+ years of professional compliance experience within financial services
• Ability to work well in a team environment
• Strong written and verbal communications skills
• Attention to detail, problem-solving skills, and the ability to handle tasks independently
• Familiarity with the Advisers Act and FINRA rules preferred
• FINRA Series 7 and Series 24 licenses or willingness to obtain within six months

• →Review marketing materials and investor communications
• →Review firm communications, including press releases and social media posts
• →Conduct communications surveillance
• →Prepare regulatory filings
• →Support FINRA licensing and registration process for broker dealer personnel
• →Develop, update, and implement compliance policies and procedures
• →Support and execute testing of policies and procedures
• →Develop and conduct employee training and administer electronic training tool
• →Review and assess regulatory changes that potentially impact TPG’s broker dealer business