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Senior Compliance Analyst
2 months ago
Position 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 funds and institutional investors.
Compensation Package: $130,000 - $140,000/year
Location: San Francisco, CA
Work Schedule: Monday to Friday (Hybrid)
- Regulatory Submissions: Assist in the preparation and submission of various regulatory documents, including Form ADV, Form PF, Forms 13G, 13H, 13F, Treasury Filings, and CFTC submissions.
- Policy Development: Aid in the formulation and execution of compliance policies and procedures in response to evolving business practices or regulatory updates.
- Ethics Code Management: Oversee the firm's Code of Ethics, including trade approvals, transaction reporting, and annual attestations.
- Training & Orientation: Facilitate compliance training for new employees and support their onboarding process.
- Compliance Evaluation: Review and assess compliance procedures and controls, ensuring alignment with regulatory standards.
- Risk Evaluation: Assist in the preparation and execution of the annual compliance risk evaluation and review.
- Educational Background: A Bachelor's degree in Finance, Law, Business, or a related discipline is required.
- Professional Experience: 2-5 years in Investment Advisor compliance, ideally with experience in Hedge Funds, Private Equity, or Asset Management.
- Regulatory Knowledge: Comprehensive understanding of the Investment Advisers Act of 1940 and associated rules and regulations, with extensive knowledge of compliance frameworks.
- Technical Proficiency: Skilled in technology and capable of addressing technical challenges as they arise.
Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will retain your resume for future opportunities and may reach out for further discussions.
