Compliance Associate / Sr Associate

WHO WE ARE:

Founded in 1995, TCV was established with a clear vision: to seize opportunities in the technology market through a specialized and consistent focus on investing in high-growth companies that impact consumers’ and businesses’ everyday lives. Since inception, the firm has built a track record of backing private and public businesses that have developed into category-defining players across consumer internet, software, fintech, and enterprise IT.

TCV has raised ~$21 billion across twelve funds and has helped guide CEOs through more than 150 IPOs and strategic acquisitions. The firm has invested more than $21 billion in cutting-edge technology companies including Airbnb, Brex, Bytedance, Dollar Shave Club, Expedia, Facebook, GoDaddy, Genesys, Grow Therapy, Hinge Health, HomeAway, Instacart, Klarna, LegalZoom, Mollie, Netflix, Nubank, Peloton, Revolut, Silver Peak, Splunk, Spotify, Strava, Zepz, and Zillow.

TCV has partnered with companies across more than 350 investments, including mid-stage, late stage and public company investments, and has offices in Menlo Park, New York, and London. For more information about TCV, including a complete list of TCV investments, visit tcv.com.

WHAT WE SEEK:

We are seeking a Compliance professional to join our team in New York. This individual will report directly to the Chief Compliance Officer and play a critical role in supporting TCV's compliance program, managing regulatory compliance, and ensuring adherence to applicable laws and regulations. The ideal candidate brings a strong foundation in Advisers Act compliance, excellent communication and organizational skills, and the ability to collaborate effectively across teams.

WHAT YOU’LL DO (ROLE & RESPONSIBILITIES):

Day-to-Day Compliance Operations

• Support core compliance functions, including Code of Ethics, Political Contribution, Expert Network and AML/KYC monitoring and administration
• Assist with recordkeeping, data input, data retrieval, and other administrative compliance tasks
• Support the Chief Compliance Officer and senior firm leadership on a wide range of matters as needed

Compliance Advisory & Risk Mitigation

• Advise investment and operational teams on compliance best practices to mitigate regulatory risk
• Monitor evolving regulatory requirements and industry trends and suggest corresponding policy changes and implementation strategies
• Partner with cross-functional stakeholders (Investment, Legal, Finance, Operations) to ensure compliance considerations are integrated into business activities

Internal Controls, Testing & Monitoring

• Perform ongoing compliance surveillance, testing, and monitoring of the firm and relevant service providers to identify gaps or deficiencies
• Conduct annual compliance reviews under the Investment Advisers Act of 1940
• Develop and verify remediation action plans for identified issues
• Design and improve processes to streamline compliance testing and documentation standards

Policy, Procedures & Training

• Monitor regulatory and compliance developments to ensure policies and procedures remain current and aligned with best practices
• Assist in the creation, maintenance, and dissemination of compliance policies and procedures
• Conduct compliance training and assist with development of the annual training plan and materials

Process Improvement & Technology

• Identify opportunities to leverage technology (including AI) in a compliant manner to enhance compliance workflows and data management
• Support transitions to new systems or tools that drive efficiency, reduce errors, and improve accessibility of compliance information
• Support special projects and additional regulatory or compliance initiatives as required

Regulatory Relations & Examinations

• Assist CCO in responding to regulatory inquiries, document requests, and examination matters
• Support the development and execution of regulatory examination strategy, including preparing materials, coordinating responses, and tracking open items
• Organize and facilitate meetings between internal subject matter experts and regulators to represent firm processes and controls
• Maintain comprehensive dashboards and status trackers to provide visibility into regulatory examination progress across the firm

WHAT YOU BRING (EXPERIENCE & QUALIFICATIONS):

Experience:

• ~4-7 years of experience in compliance, regulatory relations, or a related function at an SEC-registered financial services firm (asset management, private equity, investment banking, or broker-dealer)
• Bachelor's degree or foreign equivalent

Skills & Competencies:

• Working knowledge of SEC regulations and the regulatory examination process
• Strong written and verbal communication skills, with the ability to synthesize complex information for various audiences
• Demonstrated ability to manage multiple priorities and meet deadlines in a fast-paced environment
• Exceptional attention to detail and accuracy
• Superb organizational skills
• Familiarity with investment adviser regulations (Investment Advisers Act of 1940)
• Experience with compliance technology tools or Code of Ethics platforms (e.g., ComplySci, WorldCheck, CLEAR, RepRisk)
• Proficiency in Microsoft Office Suite (Excel, PowerPoint, Word)

WHO YOU’LL WORK WITH:

You’ll join a collaborative, lean Legal & Compliance team, partnering closely with the Chief Compliance Officer and broader Legal team.

COMPENSATION AND BENEFITS:

TCV offers a positive, team-oriented culture and a competitive compensation package. The salary range for this role takes into account the wide range of factors that are considered in making compensation decisions including but not limited to skill sets; experience and training; licensure and certifications; and other business and organizational needs. A reasonable estimate of the current salary range is approximately $130,000-$170,000. A discretionary, annual performance bonus is subject to the rules governing the program, whereby an award, if any, depends on various factors, including individual and firm performance.

TCV also offers generous benefits to support employees, paying 100% of the premiums on group health, dental, vision, long-term disability, AD&D and life insurance coverages. In addition, TCV offers its employees the opportunity to invest in a 401(k) plan and receive an annual profit-sharing contribution.

Additional information:

• Candidates should be willing to work out of our offices in New York City
• To apply, please email recruiting@tcv.com with: Your resume and answers to the following three key questions:
• 1) Describe your experience reviewing Marketing materials.
• 2) Describe your experience in managing Code of Ethics and Political Contributions.
• 3) Have you conducted a 206(4)-7 Annual Compliance Review or other policy testing?

For details on how TCV treats your personal information, please refer to our privacy policy at https://www.tcv.com/privacy-policy.