Compliance Associate

2 weeks ago


San Francisco, California, United States Fernridge Group Full time

Job Title: Compliance Associate

Firm: Fernridge Group

Location: San Francisco, CA

Compensation Range: $125,000 to $135,000 base plus year end bonus

Compliance Associate (San Francisco, CA): Our client, a leading specialist in real estate investment management, is seeking a skilled Compliance Associate to assist with efficiency in all compliance functions.

Key Responsibilities:

  • Develop and maintain compliance policies and procedures to align with applicable laws and regulations
  • Coordinate responses to regulatory reviews and manage related correspondence
  • Conduct regular risk assessments and prepare reports for senior management
  • Oversee the vendor due diligence process, including onboarding and monitoring
  • Research regulatory changes and summarize updates for compliance
  • Ensure employee compliance with policies and regulations
  • Assist with regulatory examination preparations
  • Manage Code of Ethics documentation, including trading patterns and conflicts of interest
  • Develop and deliver compliance training for new and existing employees
  • Maintain accurate records for financings, acquisitions, and funds
  • Assist in drafting closing documents and signature packages
  • Support investment adviser registration filings (Form ADV and SEC filings)

Requirements:

  • Bachelor's degree in finance, accounting, legal, or related field - JD preferred, but not required
  • 2-5 years of experience in a compliance role at a financial services firm or SEC registered investment adviser
  • Experience using compliance software tools, such as MyComplianceOffice or ComplySci
  • Solutions-oriented individual with strong communication and problem-solving skills
  • Ability to thrive in a dynamic and fast-paced environment


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