Partners Group's Compliance business unit is responsible for ensuring that the firm complies with all applicable regulatory requirements and protecting the firm from regulatory and reputational risks. The Regulatory Compliance team Americas manages the compliance program for Partners Group's SEC Registered Investment Advisers, multiple SEC Registered Investment Companies, a Canadian affiliate and regulated activities in the Cayman Islands. The team's responsibilities include, among other things, oversight of 4 offices in the US, offices in Brazil and Canada, over 400 employees and all marketing and distribution activities in the western hemisphere. The Regulatory Compliance team Americas also assists in implementing Partners Group's overall global compliance framework.
Responsibilities
- Serve as key Regulatory Compliance resource for Partners Group private market business in the Americas, providing day-to-day compliance support and helping ensure alignment with applicable regulatory requirements and global policies.
- Support the SEC-registered investment adviser compliance program through oversight of the execution and continuous enhancement of policies, procedures, and controls under Rule 206(4)-7 of the Investment Advisers Act of 1940, as well as other applicable federal and state securities laws and regulations.
- Assist in the management of the regional compliance program including partnering with and supporting senior members of the Compliance team on key initiatives, ongoing monitoring, and remediation efforts.
- Assist in monitoring, interpreting, developing and implementing US Securities law requirements as they apply to the firm's business activities, products, and client relationships.
- Assist with the preparation, review, and submission of regulatory filings such as Form ADV, Form PF and other federal securities law filings.
- Identify and address regulatory risk areas through ongoing monitoring, targeted reviews, and recommendations for policy, process, and control enhancements.
- Research key considerations relevant to specific clients, products and jurisdictions in the Americas, including strategic initiatives to support business development efforts.