Basic information
Job Name:
Senior Analyst, Compliance (AlpInvest)
Location:
New York/OVA
Line of Business:
Carlyle AlpInvest
Job Function:
Investor Services
Date:
Friday, May 16, 2025
Senior Analyst, Compliance (AlpInvest)
The Carlyle Group
IT, Legal
New York, NY, USA
USD 90k-125k / year
Posted on May 29, 2025
Position Summary
With nearly $90 billion of AUM, Carlyle AlpInvest invests across a broad range of private equity, including Primary Fund commitments, Secondary and Portfolio Finance Investment,s and Co-Investments. The firm's investments span the full spectrum of private equity: buyouts, venture, growth capital, energy, mezzanine, and distressed. Carlyle AlpInvest offers customized private equity solutions to single clients through separately managed accounts as well as commingled funds. Carlyle AlpInvest has a large and diverse base of over 400 investors globally, including sovereign wealth funds, public and private pension funds, insurance companies, and family offices.
This individual will support the development, maintenance and oversight of Carlyle AlpInvest’s regulatory compliance program regarding, especially as it relates to its regulatory obligations regarding one or more registered investment advisors. Individual will provide operational support to the global compliance team regarding regulatory compliance matters affecting employees and advisory clients, while providing support on certain other firm-related compliance matters as needed. This person will report to Carlyle AlpInvest’s Chief Compliance Officer (“CCO”).
Responsibilities
- Assisting with maintaining the firm’s restricted trading lists, reviewing personal securities transactions and holdings statements, and ensuring the firm’s books and records regarding the same are properly maintained
- Assisting with periodic testing and reviews to evaluate the effectiveness of AlpInvest’s compliance program, including reviewing electronic correspondence
- Assisting with the due diligence on existing and prospective investors
- Assisting with the preparation of regulatory filings and other periodic reports for stakeholders
- Supporting the maintenance of compliance logs and other key books and records
- Reviewing expert network requests and chaperoning calls with external experts and investment professionals
- Reviewing supporting documentation for the firm’s advertising materials
- Coordinating with Asia-based Compliance colleagues to support the compliance management of AlpInvest’s Asia-based affiliates
- Assisting with updates to compliance policies and procedures
- Assisting in the management of examinations and audits by regulatory authorities
- Assisting with regulatory and compliance research
- Assisting with compliance training for staff
Qualifications
We are seeking candidates with prior paralegal and/or compliance experience relevant to private equity and registered investment funds, strong academic credentials, and an interest in our core sectors. Candidates must enjoy working in teams, be very detail oriented, possess outstanding organizational and analytical skills, and have strong communication and interpersonal skills.
- Bachelor’s Degree with a strong academic record
- Minimum of 4+ years of regulatory compliance or legal experience at another asset manager, a law firm, an accounting firm, the SEC, or a regulatory consulting firm
- Some familiarity with US federal securities laws generally and the Investment Advisers Act specifically
- Ability to comprehend and apply other applicable laws and regulations
- A proven ability to effectively and clearly identify issues and communicate findings to other members of the team
- A proactive, self-starter work style and ability to interact with people with varied personalities and work styles
- A proven ability to multi-task and work both independently and as a team player in a dynamic and fast-paced environment
Benefits/Compensation
The compensation range for this role is specific to New York City and takes into account a wide range of factors including but not limited to the skill sets required/preferred; prior experience and training; licenses and/or certifications.
The anticipated base salary range for this role is $90,000 to $125,000.
In addition to the base salary, the hired professional will enjoy a comprehensive benefits package spanning retirement benefits, health insurance, life insurance and disability, paid time off, paid holidays, family planning benefits and various wellness programs. Additionally, the hired professional may also be eligible to participate in an annual discretionary incentive program, the award of which will be dependent on various factors, including, without limitation, individual and organizational performance.
Due to the high volume of candidates, please be advised that only candidates selected to interview will be contacted by The Carlyle Group.
Company Information
The Carlyle Group (NASDAQ: CG) is a global investment firm with $453 billion of assets under management and more than half of the AUM managed by women, across 641 investment vehicles as of March 31, 2025. Founded in 1987 in Washington, DC, Carlyle has grown into one of the world's largest and most successful investment firms, with more than 2,300 professionals operating in 29 offices in North America, Europe, the Middle East, Asia and Australia. Carlyle places an emphasis on development, retention and inclusion as supported by our internal processes and seven Employee Resource Groups (ERGs). Carlyle's purpose is to invest wisely and create value on behalf of its investors, which range from public and private pension funds to wealthy individuals and families to sovereign wealth funds, unions and corporations. Carlyle invests across three segments - Global Private Equity, Global Credit and Carlyle AlpInvest - and has expertise in various industries, including: aerospace, defense & government services, consumer & retail, energy, financial services, healthcare, industrial, real estate, technology & business services, telecommunications & media and transportation.
At Carlyle, we believe that a wide spectrum of experiences and viewpoints drives performance and success. Our CEO, Harvey Schwartz, has stated that, "To build better businesses and create value for all of our stakeholders, we are focused on assembling leadership teams with the strongest insights from a range of perspectives." We strive to foster an environment where ideas are openly shared and valued. By bringing together teams with varied expertise and approaches, we enjoy a competitive advantage and create a stronger foundation for long-term success.