Landing Point
Base pay range
$175,000.00/yr - $300,000.00/yr
Senior Compliance Associate (San Francisco, CA) Our client, a global asset manager, is seeking a Compliance professional to join its lean Legal & Compliance team. This is a generalist role with significant ownership and exposure across the entire compliance program, offering the opportunity to grow into a more senior role over time.
Key Points
Become part of a collaborative, entrepreneurial team at a respected and established firm.
Play a central role in overseeing and enhancing the firm’s compliance framework, with guidance from senior leaders and external experts.
Work closely with colleagues across investments, operations, client relations, and technology to support firmwide initiatives.
Join an organization that prioritizes diversity, balanced work schedules, and community engagement.
Hybrid schedule: expected in-office presence three days per week.
Total compensation anticipated between 175-300k, depending on background and experience.
Responsibilities
Lead administration of the firm’s compliance program, including:
Partner with IT to oversee the firm’s cybersecurity program
Conduct employee compliance training for new hires and ongoing education for all staff
Coordinate and execute the firm’s annual compliance review under SEC Rule 206(4)-7
Monitor evolving SEC rules and regulatory guidance applicable to investment advisers and private funds
Respond to investor DDQs, AML/KYC requests, and other client compliance inquiries
Serve as a key contact across investment, client service, operations, and external providers
Represent compliance on relevant internal committees and help embed a culture of compliance throughout the organization
Qualifications
3+ years of experience in a compliance role at an SEC‑registered investment adviser; experience with private funds preferred
Strong understanding of the Investment Advisers Act of 1940 and related regulatory framework
Proven ability to identify and resolve compliance risks and implement scalable solutions
Seniority level Associate
Employment type Full‑time
Job function Legal
Industries Investment Management and Venture Capital and Private Equity Principals
#J-18808-Ljbffr
Senior Compliance Associate (San Francisco, CA) Our client, a global asset manager, is seeking a Compliance professional to join its lean Legal & Compliance team. This is a generalist role with significant ownership and exposure across the entire compliance program, offering the opportunity to grow into a more senior role over time.
Key Points
Become part of a collaborative, entrepreneurial team at a respected and established firm.
Play a central role in overseeing and enhancing the firm’s compliance framework, with guidance from senior leaders and external experts.
Work closely with colleagues across investments, operations, client relations, and technology to support firmwide initiatives.
Join an organization that prioritizes diversity, balanced work schedules, and community engagement.
Hybrid schedule: expected in-office presence three days per week.
Total compensation anticipated between 175-300k, depending on background and experience.
Responsibilities
Lead administration of the firm’s compliance program, including:
Partner with IT to oversee the firm’s cybersecurity program
Conduct employee compliance training for new hires and ongoing education for all staff
Coordinate and execute the firm’s annual compliance review under SEC Rule 206(4)-7
Monitor evolving SEC rules and regulatory guidance applicable to investment advisers and private funds
Respond to investor DDQs, AML/KYC requests, and other client compliance inquiries
Serve as a key contact across investment, client service, operations, and external providers
Represent compliance on relevant internal committees and help embed a culture of compliance throughout the organization
Qualifications
3+ years of experience in a compliance role at an SEC‑registered investment adviser; experience with private funds preferred
Strong understanding of the Investment Advisers Act of 1940 and related regulatory framework
Proven ability to identify and resolve compliance risks and implement scalable solutions
Seniority level Associate
Employment type Full‑time
Job function Legal
Industries Investment Management and Venture Capital and Private Equity Principals
#J-18808-Ljbffr