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Compliance - Broker-Dealer, Associate

TPG Careers Page
Location
New York - 245 Park Avenue
Posted
2 months ago
Department
Compliance
Salary
$110,000 – $125
What they actually want (must-haves)
  • 4+ 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
  • FINRA Series 7 and Series 24 licenses or willingness to obtain within six months
Nice to have
  • Familiarity with the Advisers Act and FINRA rules
What the job really is

The Compliance Associate will join TPG's broker-dealer Compliance team in New York, focusing on compliance oversight of fundraising and capital market activities. Daily responsibilities include reviewing marketing materials, conducting communications surveillance, preparing regulatory filings, and developing compliance policies and training programs, while collaborating with various teams across the firm.

Benefits
  • Annual base salary ranging from $110,000 – $125,000
  • Discretionary compensation
  • Comprehensive health benefits
  • Paid time off
  • Other incentives may be available to certain eligible employees
Things to weigh
  • No specific mention of remote work options
  • Role may involve regulatory changes that could impact responsibilities
  • Salary range provided, but no details on performance reviews or salary growth
Job score3.4/5
Benefits3/5
Freshness1/5
Career value4/5
Role clarity4/5
Pay transparency5/5

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