Compliance Analyst
2 months ago
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 firms 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 firms 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
#J-18808-Ljbffr
We have other current jobs related to this field that you can find below
-
Senior Legal
1 week ago
San Francisco, United States PE FIRM Full timeOverview:A leading global investment firm managing $50B+ in assets is seeking a Senior Compliance Analyst to join their compliance team. The Opportunity:The Senior Compliance Analyst 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...
-
Senior Legal
2 weeks ago
San Francisco, United States PE FIRM Full timeOverview:A leading global investment firm managing $50B+ in assets is seeking a Senior Compliance Analyst to join their compliance team. The Opportunity:The Senior Compliance Analyst 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...
-
Governance, Risk
2 days ago
San Francisco, United States Perplexity Full timePerplexity is seeking a highly experienced Governance, Risk & Compliance Analyst to join our world-class team. As the initial hire for this critical role, you will have the unique opportunity to architect our compliance and risk management strategies from the ground up. If you are a self-motivated, organized professional with a passion for driving compliance...
-
Governance, Risk
2 weeks ago
San Francisco, United States Perplexity AI Full timeJob DescriptionJob DescriptionPerplexity is seeking a highly experienced Governance, Risk & Compliance Analyst to join our world-class team. As the initial hire for this critical role, you will have the unique opportunity to architect our compliance and risk management strategies from the ground up. If you are a self-motivated, organized professional with a...
-
Risk and Compliance Analyst
2 weeks ago
San Jose, United States CyberSN Full timeRisk and Compliance AnalystCyberSN San Jose, California (Hybrid)Our client is looking to hire a Risk and Compliance Analyst to join their cybersecurity team.This is a remote 6 month contract role.Our client at this time can only hire U.S. Citizens or Green Card Holders.No C2C or H1b transfers.Responsibilities:Risk and Compliance Analyst will be responsible...
-
Risk and Compliance Analyst
1 week ago
San Jose, United States CyberSN Full timeRisk and Compliance AnalystCyberSN San Jose, California (Hybrid)Our client is looking to hire a Risk and Compliance Analyst to join their cybersecurity team.This is a remote 6 month contract role.Our client at this time can only hire U.S. Citizens or Green Card Holders.No C2C or H1b transfers.Responsibilities:Risk and Compliance Analyst will be responsible...
-
Risk and Compliance Analyst
3 weeks ago
San Jose, United States Zenex Partners Full time🔍 We’re Hiring: Risk and Compliance Analyst (Bi-lingual in Korean/English)Are you passionate about information security and compliance? Join our team as a Risk and Compliance Analyst and play a pivotal role in safeguarding our organization!📍 Location: Hybrid (San Jose HQ 3 days per week, with remote flexibility)What You’ll Do:Develop and implement...
-
Risk and Compliance Analyst
3 weeks ago
San Jose, United States Zenex Partners Full timeWe’re Hiring: Risk and Compliance Analyst (Bi-lingual in Korean/English)Are you passionate about information security and compliance? Join our team as a Risk and Compliance Analyst and play a pivotal role in safeguarding our organization! Location: Hybrid (San Jose HQ 3 days per week, with remote flexibility)What You’ll Do:Develop and implement...
-
BSA AML Compliance Analyst
10 hours ago
San Diego, United States Ultimate Staffing Full timePosition: BSA AML Compliance AnalystLocation: Kearny Mesa (onsite position)Pay Rate: $30-42/hrSchedule: Monday-Thursday 8am-3:30pmDuration: Contract Immediate Compliance Analyst opening for a well established credit union. The ideal candidate is a great communicator and team player, has 1+ BSA AML Compliance Analyst experience from a credit union reviewing...
-
BSA AML Compliance Analyst
1 day ago
San Diego, United States Ultimate Staffing Full timePosition: BSA AML Compliance AnalystLocation: Kearny Mesa (onsite position)Pay Rate: $30-42/hrSchedule: Monday-Thursday 8am-3:30pmDuration: Contract Immediate Compliance Analyst opening for a well established credit union. The ideal candidate is a great communicator and team player, has 1+ BSA AML Compliance Analyst experience from a credit union reviewing...
-
BSA AML Compliance Analyst
5 hours ago
San Diego, United States Ultimate Staffing Full timePosition: BSA AML Compliance Analyst Location: Kearny Mesa (onsite position) Pay Rate: $30-42/hr Schedule: Monday-Thursday 8am-3:30pm Duration: Contract Immediate Compliance Analyst opening for a well established credit union. The ideal candidate is a great communicator and team player, has 1+ BSA AML Compliance Analyst experience from a credit union...
-
Cybersecurity Compliance Support Analyst
3 months ago
San Diego, United States ENGINEERING SERVICES NETWORK, Inc. Full timeJob DescriptionJob DescriptionCyber Security Compliance Support AnalystEducation Requirement: The Cybersecurity Compliance (CC) Analyst shall have an undergraduate degree in a computer or related technical field. Certification Requirement: In lieu of the undergraduate degree, the Cyber Security Compliance Analyst must have one or more of the following...
-
Senior Data Analyst, Cash App Compliance
1 month ago
San Francisco, California, United States Block Full timeCompany DescriptionIt all started with an idea at Block in 2013. Initially built to take the pain out of peer-to-peer payments, Cash App has gone from a simple product with a single purpose to a dynamic ecosystem, developing unique financial products, including Afterpay/Clearpay, to provide a better way to send, spend, invest, borrow and save to our 47...
-
BSA Compliance Manager
4 weeks ago
San Francisco, United States Addison Group Full timeJob DescriptionJob DescriptionBSA Compliance ManagerLocation: San Francisco, CA (onsite) Pay: $110-125k, depending on experienceThe BSA Compliance Manager will support the BSA/AML/OFAC Officer in overseeing the Bank Secrecy Act (BSA), Anti-Money Laundering (AML), and Office of Foreign Assets Control (OFAC) compliance programs. This role includes supervising...
-
BSA Compliance Manager
4 weeks ago
San Francisco, United States Addison Group Full timeJob DescriptionJob DescriptionBSA Compliance ManagerLocation: San Francisco, CA (onsite) Pay: $110-125k, depending on experienceThe BSA Compliance Manager will support the BSA/AML/OFAC Officer in overseeing the Bank Secrecy Act (BSA), Anti-Money Laundering (AML), and Office of Foreign Assets Control (OFAC) compliance programs. This role includes supervising...
-
People Compliance Analyst
4 weeks ago
San Ramon, California, United States Five9 Full timeJoin a Team Committed to Compliance ExcellenceAt Five9, we are dedicated to revolutionizing customer experience through innovative cloud contact center software solutions. With a vibrant team-first culture, we prioritize growth, collaboration, and diversity to create a thriving work environment. As we expand, we are looking for a People Compliance Analyst to...
-
Compliance Analyst
2 months ago
San Diego, United States Cetera Financial Group Full timeAt Cetera we need detailed thinkers to help us deliver quality and value to our clients. As an experienced analyst, you know how to uncover trends and tell meaningful stories through data. You collect, organize, and interpret information with ease and understand the impact your insights have on our business.. Cetera Financial Group is currently seeking an...
-
AML Compliance Analyst
1 month ago
San Antonio, United States Hiring Now! Full timeThe Judge Group is currently seeking AML Compliance Analysts to support a large digital currency organization. This position requires five days per week onsite. For immediate consideration email your resume to rkissinger judge.com.- Robbie KissingerResponsibilities:Conduct AML alert and case reviews to mitigate risks related to financial crimes and...
-
AML Compliance Analyst
1 week ago
San Antonio, United States The Judge Group Full timeThe Judge Group is currently seeking AML Compliance Analysts to support a large digital currency organization. This position requires five days per week onsite. For immediate consideration email your resume to rkissinger judge.com.- Robbie KissingerResponsibilities:Conduct AML alert and case reviews to mitigate risks related to financial crimes and...
-
Legal & Compliance Associate
2 weeks ago
San Francisco, United States PE FIRM Full timeOverview: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...
