Compliance Associate
4 weeks ago
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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