Senior Compliance Analyst

2 weeks ago


San Francisco, California, United States Atlantic Group Full time

Position 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 private funds and institutional investors.

Compensation Package: $130,000 - $140,000/year
Work Location: San Francisco, CA
Work Schedule: Monday to Friday (Hybrid)

Key Responsibilities for the Senior Analyst (Legal and Compliance):
  1. 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.
  2. Policy Development: Aid in the creation and execution of compliance policies and procedures in response to evolving business practices or regulatory modifications.
  3. Ethics Code Management: Oversee the firm's Code of Ethics, including trade approvals, transaction reporting, and annual attestations.
  4. Training & Orientation: Facilitate compliance training for new employees and support their onboarding experience.
  5. Compliance Evaluation: Review and assess compliance procedures and controls, ensuring alignment with regulatory standards.
  6. Risk Evaluation: Assist in conducting the annual compliance risk evaluation and review.
Qualifications for the Senior Analyst (Legal and Compliance):
  1. Educational Background: A Bachelor's degree in Finance, Law, Business, or a related discipline is essential.
  2. Professional Experience: 2-5 years in Investment Advisor compliance, ideally with exposure to Hedge Funds, Private Equity, or Asset Management.
  3. Regulatory Knowledge: Comprehensive understanding of the Investment Advisers Act of 1940 and associated regulations, with extensive knowledge of compliance frameworks.
  4. Technical Proficiency: Skilled in technology and capable of addressing technical challenges as they arise.

Application Information: 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 discussion.



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