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Compliance Analyst

4 months ago

San Francisco, United States Robert Walters Full time

Compliance Analyst


Our client, an established and well-performing investment manager in San Francsico CA, is seeking a Compliance Analyst to join their team.


As a Compliance Analyst, you will play a crucial role in maintaining the integrity of our client's operations. Your responsibilities will span across various aspects of compliance, legal, and administration. You will be tasked with maintaining internal compliance records, coordinating regulatory filings, assisting in document reviews, conducting audits, drafting compliance reports, supporting training initiatives, updating policy manuals, drafting legal documents, researching new regulations, among other duties.


The successful candidate will have a strong interest in compliance, legal, and administration, preferably with experience in the financial services industry. This role provides an excellent platform for career growth, offering exposure to a broad range of asset classes including fixed income, private equity, and real assets.


Responsibilties:

  • Maintain and organise internal compliance books and records
  • Coordinate regulatory filings pursuant to requirements
  • Assist in the review and approval of all offering and subscription documents
  • Conduct continuous rolling audits of the firm’s practice to ensure compliance with all policies and procedures
  • Assist in the drafting of compliance reports and memorandums to files for any unique compliance related situations
  • Support the firm's compliance, training, and testing calendars
  • Annually update the required changes in the firm’s Compliance Manual and Code of Ethics
  • Draft fund formation documents and regulatory filings
  • Research and review new SEC and other federal rules


Key Skills:

  • At least 2 years’ professional experience in legal and compliance roles
  • Degree: A Juris Doctor, Doctor of Jurisprudence, or Doctor of Law
  • Strong computer skills with proficiency in Excel, Word, and PowerPoint
  • Experience with ComplianceAlpha, MyCompliance Office or other compliance administration technology
  • Excellent oral and written communication skills
  • Exceptional attention to detail and follow-through capabilities
  • Ability to prioritise tasks and manage multiple projects on tight schedules
  • Ability to work well in collaborative, fast-paced environments


Work Schedule:

  • 5 days a week in office