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About the Role
The Associate of Compliance will help manage the firm’s Code of Ethics and compliance training programs, including policies and procedures for wealth management and private fund business activities. This role involves monitoring the Code of Ethics, related surveillance, and testing, with responsibilities evolving based on experience and business growth.
Responsibilities
- Approve employee activities relating to the firm’s Code of Ethics policies
- Monitor and surveil employee activities, including electronic communications
- Assist with regulatory filings and maintain related procedures
- Support the ongoing maintenance of the firm’s compliance risk assessment
- Perform surveillance tasks to verify the firm’s compliance with policies and procedures
- Manage audit and testing reviews, working with business units to resolve findings and remediation items
- Provide compliance training and administer the firm’s compliance training program
- Provide compliance oversight of the firm’s client and investor on-boarding activities
- Manage compliance tasks relating to the firm’s Vendor Management, Information Security, Cybersecurity and Books and Records programs
- Create and maintain reporting of Compliance activities provided to senior management, including remediation and exception reporting
- Support strategic projects across business functions to ensure Compliance requirements are met
Requirements
- 3 - 5 years of experience working in a compliance role at a financial service firm
- Familiarity with both wealth management and private fund adviser
- Knowledge of the SEC’s Investment Advisers Act of 1940
- Experience supporting a compliance program for a private fund investment adviser
- Experience managing Code of Ethics policies and related monitoring and approval activities for an investment adviser
- Experience with regulatory filings such as 13F, ADV and Form PF
- Experience developing processes and operationalizing compliance functions
- Willingness to learn and leverage technology tools
- Well-organized and detail-oriented
- Ability to "roll up your sleeves" and get things done
- Enjoy solving problems and finding creative solutions
- Ability to remain calm under pressure
- Effective communication skills and ability to build strong relationships
- Discretion in handling sensitive and confidential information
- Ability to work independently and as part of a team
- Bachelor’s degree with 5+ years of professional work experience
Skills
- Compliance
- Wealth Management
- Private Funds
- SEC's Investment Advisers Act of 1940
- Code of Ethics
- Monitoring and Surveillance
- Regulatory Filings (13F, ADV, Form PF)
- Risk Assessment
- Audit and Testing
- Compliance Training
- Vendor Management
- Information Security
- Cybersecurity
- Books and Records Management
- Reporting
- Technology Tools
- Problem Solving
- Communication
- Relationship Building
Location
- San Francisco, California
Work Type
- Full-time
Experience Level
- Associate
Education Level
- Bachelor's degree
Salary/Compensations
- $85,000 to $115,000 per year
Benefits
- Medical, dental & vision insurance – 100% of premium covered for employees
- 401k participation with employer contribution
- Generous paid time off
- Commuter benefits program
- Fitness Reimbursement
- Annual Professional Development and Mindfulness Stipend
About the Company
- Jordan Park provides investment management and financial advice to individuals, families, and institutions.
- The firm is composed of empathetic problem solvers with depth and diversity of experience.
- Jordan Park is an SEC-registered investment adviser (RIA).
Equal Opportunity
- Jordan Park is proud to be an equal opportunity employer, and we consider qualified applicants without regard to race, color, religion, sex, national origin, ancestry, age, genetic information, sexual orientation, gender identity, marital or family status, veteran status, medical condition or disability.
- We comply with the San Francisco Fair Chance Ordinance and will consider for employment qualified applicants with arrest and conviction records.