Apr 28, 2023

Compliance Associate

  • Bow River Capital
  • Denver, CO, USA
Full time Legal

Job Description

Bow River Capital is a private alternative asset management company based in Denver, Colorado with approximately $2.9 billion in assets under management as of November 30, 2022. Founded in 2003, the firm  was established with a vision of building a world class, diversified investment management platform committed to the lower middle market. Bow River has three private fund platforms: Private Equity, Real Estate, and Software Growth Equity, as well as a registered fund, the Bow River Capital Evergreen Fund, which provides access to private market investments to a broad set of investors.


Bow River’s Compliance Associate is responsible for administering the firm’s Compliance Program, including with respect to the firm’s private and registered funds. Working closely with – and reporting to – the firm’s General Counsel and Chief Compliance Officer, the Compliance Associate is charged with helping to ensure that the firm’s Compliance Program adheres to federal securities laws, including the Investment Company Act of 1940 and Investment Advisers Act of 1940.


The Compliance Associate is responsible for the execution of Bow River Capital’s Compliance Program and administers policies and procedures to ensure that Bow River adheres to all compliance and regulatory guidelines. This includes – but is not limited to – maintaining and updating the firm’s Compliance Manual, Business Continuity Plan, Written Information Security Program and Code of Ethics, as well as team training and procedure testing.

 Primary responsibilities include:

·        Enforcing the Code of Ethics and Compliance Manual, including maintaining, updating and overseeing the compliance monitoring program across the firm;

·        Managing the firm’s annual compliance review and identifying opportunities to enhance the Compliance Program;  

·        Ensuring that the firm has an effective compliance training program, including new employee training and ongoing compliance and code of ethics training for all team members;

  • Preparing and filing Form ADV and Form PF;
  • Reviewing marketing and advertising materials;
  • Verifying internal controls to ensure they are adequate to achieve compliance with prevailing rules and regulations; 
  • Communicating with internal stakeholders to answer questions, provide guidance and ensure that compliance procedures are understood and adhered to;
  • Maintaining a strong working knowledge of the rules and regulations applicable to registered investment advisers (and changes or developments with respect to each);
  • Contributing to a strong culture of compliance; and

·        Identifying and managing risk to the firm.

 Additional responsibilities include:

  • Managing the firm’s restricted trading list, political donations, and marketing through ComplySci;
  • Ensuring background checks are performed on all new employees; and
  • Serving as the Super Administrator for the IARD system.


  • Three to five years serving in a compliance role in the investment industry
  • Bachelor’s Degree in Business, Finance or related field
  • Demonstrated experience with the compliance and regulatory matters under the investment Advisers Act of 1940 and the Investment Company Act of 1940
  • Knowledge of private funds (legal structure, terminology, regulations) a definite plus
  • Experience with compliance software modules (ideally ComplySci)
  • Excellent oral and written communication skills (along with ability to write, edit and proof a wide variety of documents with attention to detail)

·        Proficient in the use of MS Office: strong knowledge of Excel, Powerpoint and Word

  • Detail-oriented, ability to muti-task and effectively (and independently) manage time
  • Demonstrated track record of building partnerships and working collaboratively with others to meet shared business objectives
  • Independent self-starter with the ability to meet deadlines
  • This role is based in Bow River Capital’s Denver office


Bow River Capital offers unlimited vacation and competitive health and insurance benefits. The salary range for this role is $65,000 - $95,000 plus an annual discretionary performance bonus. Years of experience and years in a similar role, among other factors, will be used to determine the actual salary.


Interested candidates should send a cover letter and resume to Careers@BowRiverCapital.com




Apply Now