Senior Compliance Associate

3 weeks ago

San Francisco, United States Cardea Group Full time

Senior Compliance Associate (San Francisco, CA): Our client, an established, international investment manager, is seeking an intelligent, diligent, and enthusiastic compliance professional to join their team. Working in a newly created capacity, this is an exceptional opportunity to join dynamic hybrid hedge and private equity fund in a #2 capacity on the compliance side of business reporting into an exceptional, kind, and innovative GC & CCO.


Key Points:

  • Organization has been described as dynamic as they are doing extremely unique work in the investment space
  • New hire will constantly be learning; the firm is comprised of HUGE thinkers and the team is extremely collaborative
  • Compliance is highly valued within the organization and their advice is proactively sought by internal members

Responsibilities:

  • Collaborate with the other members of the legal and compliance team to address, update, and implement regulatory changes
  • Ensure the firm is SEC-ready by maintaining and implementing the firm’s compliance program
  • Oversee the Code of Ethics and trade surveillance and collaborate with other teams in the firm to ensure compliance with policies and procedures
  • Assist in regular review and testing of the compliance program
  • Prepare for regulatory filings and exams
  • Assist with all legal aspects of the fund formation process including reviewing contracts, communications, and legal agreements

Qualifications:

  • Bachelor’s degree and 3-6 years of relevant compliance and legal administration experience at an investment firm
  • Previous experience with private funds, private structured investments, and knowledge of the Investment Advisers Act of 1940
  • Comfortable working in a fast-paced environment, with a keen sense of prioritizing workload and time-sensitive projects; strong attention to detail and organizational skills
  • Ability to work independently as well as part of a team
  • Willingness to come to the office 3 days/week

Compensation: $115-170K base + bonus (up to $260K all-in)

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