Capital RaisingRegulatory CompliancePress Release WritingComplianceSoftware Testing
TPG is hiring a Compliance Associate. Candidates must have 2+ years of compliance experience in financial services and hold or be willing to obtain FINRA Series 7 and 24 licenses. Responsibilities include reviewing marketing materials, regulatory filings, and implementing compliance poli
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TPG is a leading global alternative asset management firm, founded in San Francisco in 1992, with investment and operational teams around the world. TPG invests across a broadly diversified set of strategies, including private equity, impact, credit, real estate, and market solutions, and our unique strategy is driven by collaboration, innovation, and inclusion. Our teams combine deep product and sector experience with broad capabilities and expertise to develop differentiated insights and add value for our fund investors, portfolio companies, management teams, and communities.
TPG’s success depends on our people, and we build and sustain our world-class team by creating an inclusive, supportive culture within the firm that seeks excellence and encourages humility and transparency. The quality of our investments and our ability to build great companies depend on the originality of our insights. Reaching our firm’s full potential means supporting every team member to bring the fullness of their unique perspective to their work and to our community. We are committed to a diverse, equitable, and inclusive workplace to foster diversity of thought and reflect the breadth of our limited partners and portfolio companies.
Overview:
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.
Requirements:
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
Responsibilities:
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
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