Senior Compliance and Legal Analyst
1 week ago
Location: San Francisco, California
Compensation: $110k-$145k + Bonus
Key Responsibilities:
- Support a diverse range of regulatory, corporate, fund, and investment compliance issues across multiple strategies.
- Draft, implement, maintain, and evaluate compliance policies and procedures, assisting the team in adapting these to new business practices or regulatory updates.
- Contribute to the preparation and execution of the annual compliance risk assessment and the yearly compliance review.
- Assist in managing the firm's Code of Ethics, which includes trade approvals, trade reviews, affirmation approvals, quarterly transaction reporting, and annual attestations.
- Support the development of legal and compliance risk mitigation strategies across various disciplines, including client contracts and operational systems.
- Significantly aid in the preparation of regulatory submissions, including Form ADV, Form PF, and other relevant filings.
- Review and authorize external communications, marketing, and business development materials.
- Assist with general KYC/AML inquiries from external parties.
- Support regulatory audits, inquiries, and subpoenas.
Qualifications:
- Minimum of 2 years of experience in an in-house legal or compliance department (a JD from an accredited law school is advantageous).
- Familiarity with the Investment Advisers Act of 1940 and its associated rules and regulations, along with a comprehensive understanding of financial industry compliance programs.
- Excellent time management, planning, and organizational abilities.
- Capability to work independently while also thriving in a collaborative, team-oriented, and fast-paced environment.
- Strong communication skills are essential.
-
Senior Compliance Analyst
2 weeks ago
San Francisco, California, United States Atlantic Group Full timePosition Overview - Senior Analyst (Legal and Compliance):We are looking for a Senior Compliance Analyst to oversee and enhance the compliance framework for a dynamic investment advisory firm. This hybrid position emphasizes regulatory adherence, managing filings, and ensuring compliance with industry regulations for a varied clientele, including private...
-
Senior Compliance Analyst
1 week ago
San Francisco, California, United States Atlantic Group Full timePosition Overview - Senior Analyst (Legal and Compliance):We are in search of a Senior Compliance Analyst to oversee and enhance the compliance framework for a dynamic investment advisory firm. This hybrid position emphasizes regulatory adherence, managing filings, and ensuring compliance with industry regulations for a varied client base, including private...
-
Senior Compliance Analyst
2 weeks ago
San Francisco, California, United States Atlantic Group Full timePosition Overview - Senior Analyst (Legal and Compliance):We are looking for a Senior Compliance Analyst to oversee and enhance the compliance framework for a dynamic investment advisory firm. This hybrid position emphasizes regulatory adherence, managing submissions, and ensuring compliance with industry regulations for a varied clientele, including private...
-
Senior Compliance Analyst
2 weeks ago
San Francisco, California, United States Atlantic Group Full timePosition Overview - Senior Analyst (Legal and Compliance):We are looking for a Senior Compliance Analyst to oversee and refine the compliance framework for a dynamic investment advisory organization. This hybrid position emphasizes regulatory adherence, managing submissions, and ensuring compliance with industry benchmarks for a varied clientele, including...
-
Senior Quality Assurance Manager for Compliance
2 weeks ago
San Francisco, California, United States Compliance Wise Full timeAbout Compliance WiseCompliance Wise is a leading platform dedicated to providing comprehensive compliance solutions for businesses globally. Our innovative approach combines advanced technology and expert knowledge, empowering organizations to navigate the complexities of compliance effectively.About the TeamThe Compliance and Risk Management team at...
-
Senior Quality Assurance Manager for Compliance
2 weeks ago
San Francisco, California, United States Compliance Wise Full timeAbout Compliance WiseCompliance Wise is a leading provider of compliance solutions for businesses operating in complex regulatory environments. Our innovative platform enables organizations to navigate compliance challenges effectively, ensuring adherence to regulations while optimizing operational efficiency.About the TeamThe Compliance and Risk Management...
-
Lead Compliance Analyst
1 week ago
San Francisco, California, United States Atlantic Group Full timePosition Overview - Senior Analyst (Legal and Compliance):We are looking for a Senior Compliance Analyst to oversee and enhance the compliance framework for a dynamic investment advisory organization. This hybrid position emphasizes regulatory adherence, managing submissions, and ensuring compliance with industry regulations for a varied clientele, including...
-
Lead Compliance Analyst
2 weeks ago
San Francisco, California, United States Atlantic Group Full timePosition Overview - Senior Analyst (Legal and Compliance):We are looking for a Senior Analyst to oversee and improve the compliance framework for a dynamic investment advisory organization. This hybrid position emphasizes regulatory adherence, managing submissions, and ensuring compliance with industry regulations for a varied clientele, including private...
-
Senior Quality Assurance Manager for Compliance
2 weeks ago
San Francisco, California, United States Compliance Wise Full timeAbout Compliance WiseCompliance Wise is a premier provider of integrated compliance solutions for businesses operating in a global environment. Our innovative platform supports organizations in managing their compliance needs effectively, enabling them to focus on their core operations while we handle the complexities of regulatory requirements.With a...
-
Senior Compliance and Legal Analyst
1 week ago
San Francisco, California, United States Atlantic Group Full timePosition Overview:Location: San Francisco, CaliforniaCompensation: $110k-$145k + BonusKey Responsibilities:Support a diverse range of regulatory, corporate, fund, and investment compliance issues across multiple strategies.Draft, implement, and maintain compliance policies and procedures, ensuring alignment with new business practices or regulatory...
-
Senior Compliance Analyst
6 days ago
San Francisco, California, United States ICONIQ Capital Full timeAbout the RoleWe are seeking a highly skilled Senior Compliance Analyst to join our team at ICONIQ Capital. As a key member of our compliance team, you will play a critical role in ensuring the firm's compliance program is robust and effective.Key ResponsibilitiesRegulatory Filings: Assist in the preparation of regulatory filings, including Form ADV, Form...
-
San Francisco, California, United States Kandji Full timeAbout KandjiKandji is a leading provider of enterprise-grade Apple device management and security solutions. Our platform empowers organizations to centrally manage and secure their Apple devices, freeing up IT and InfoSec teams from manual, repetitive work.Our vision is to create a seamless and secure experience for Apple users, leveraging connected...
-
Senior Vice President of Legal and Compliance IT
2 weeks ago
San Mateo, California, United States Visa Full timeCompany OverviewVisa stands at the forefront of the payments and technology sector, facilitating over 259 billion transactions securely across more than 200 countries and territories annually. Our vision is to connect the globe through an innovative, reliable, and secure payments network, empowering individuals, businesses, and economies to flourish while...
-
Senior Legal Analyst
2 months ago
San Jose, California, United States OKX Full timeWho We Are:OKX is revolutionising world systems through our cutting-edge digital asset exchange, Web3 portal and blockchain ecosystems. We are deeply committed to shaping a fairer, more transparent and accessible society through blockchain technology and to date, we have 50+ million users, 3000+ employees and 180+ countries believing in the same vision as...
-
Senior Research Analyst
2 weeks ago
San Francisco, California, United States Cornerstone Research Full timePOSITION SUMMARYAs a Senior Research Analyst at Cornerstone Research, you will be integral to our consulting teams. Your role will involve collaborating with a diverse group of professionals, including industry experts and senior consultants, to tackle complex projects. Throughout your engagement in various projects, you will contribute significantly at...
-
Director of Legal and Compliance
6 days ago
San Francisco, California, United States Scribe Full timeAbout ScribeScribe is a leading provider of innovative software solutions, empowering businesses to streamline their operations and improve efficiency. Our cutting-edge technology enables organizations to automate processes, reduce costs, and enhance productivity.Job SummaryWe are seeking an experienced Director of Legal and Compliance to join our team. As a...
-
Senior Research Analyst
2 weeks ago
San Francisco, California, United States Cornerstone Research Full timeSenior Research Analyst Job Locations:USID:Category: AnalystOverviewAs a Senior Research Analyst, you will be integral to the operations at Cornerstone Research. Your role will involve collaborating within case teams that vary in size, typically comprising an academic or industry specialist, senior consultants, and fellow Analysts. In your capacity within a...
-
Senior Legal Advisor, EMEA
6 days ago
San Francisco, California, United States Counsel Treuhand GmbH Full timeAbout the RoleCounsel Treuhand GmbH is seeking a highly skilled and experienced Senior Legal Advisor to join our EMEA team. As a key member of our legal department, you will play a critical role in shaping the company's legal strategy and ensuring compliance with local laws and regulations.Key ResponsibilitiesCommercial Negotiations: Oversee commercial...
-
Senior Legal Counsel
4 days ago
San Francisco, California, United States Arbitrum Full timeAbout the RoleWe are seeking a highly skilled and experienced Senior Legal Counsel to join our team at Arbitrum. As a key member of our legal department, you will play a critical role in shaping our company's legal strategy and providing expert guidance on a wide range of legal matters.Key ResponsibilitiesLegal Strategy and Advice: Provide strategic legal...
-
Senior Legal Expert
1 week ago
San Francisco, California, United States Delta Dental of California Full timeAbout the RoleWe are seeking a highly skilled and experienced Senior Legal Analyst to join our team at Delta Dental of California. As a key member of our Legal Department, you will provide critical support to our attorneys on complex legal matters related to insurance and healthcare.Key ResponsibilitiesSupport to Attorneys: Provide flexible support,...