Legal & Compliance Associate

4 weeks ago


San Francisco, United States PE FIRM Full time

Overview:

A leading global investment firm managing $50B+ in assets is seeking a Senior Compliance Analyst to join their compliance team.


The Opportunity:

The Legal & Compliance Associate will assist in managing the investment advisory compliance program for an SEC-registered investment adviser, covering family office clients and both onshore and offshore private funds.


Key Responsibilities:

  • Regulatory Filings: Form ADV, Form PF, Forms 13G, 13H, 13F
  • Policy Implementation
  • Code of Ethics Administration
  • Compliance Testing
  • Marketing Review


Ideal Candidate Background:

  • 2-5 years of experience at an investment adviser, hedge fund, private equity firm, or asset management firm.
  • Strong knowledge of the Investment Advisers Act of 1940 and related regulations.
  • Technologically proficient and comfortable addressing technical issues.


#39796



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