Senior Associate, Compliance - SF

August 21

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Jordan Park Group

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Our mission is to enhance lives and legacies.

Investment Management • Wealth Management • Family Office Advisory

51 - 200

Description

• Ensure the firm’s compliance with regulatory obligations through creation and maintenance of policies and procedures • Manage regulatory filings and maintain related procedures • Review and approval of marketing and client communications, in close collaboration with client coverage and investment teams • Manage the firm’s compliance training program • Ongoing maintenance of the firm’s compliance risk assessment • Manage audit and testing reviews, working with business units to resolve findings and remediation items • Approve employee activities relating to the firm’s Code of Ethics policies • Monitoring and surveillance of employee activities, including electronic communications • Provide compliance oversight of the investment activities, including in relation to the firm’s private funds, ensuring compliance with the firm’s Conflicts of Interest, Handling of MNPI, Valuation, Allocation, Trading, and other related policies • Provide compliance oversight of the firm’s client and investor onboarding activities • Compliance coverage of the firm’s Vendor Management, Information Security, Cybersecurity and Books and Records programs • Responsible for surveillance tasks to verify the firm’s compliance with policies and procedures • Create and maintain reporting of Compliance activities, including remediation and exception reporting, to senior management • Support strategic projects across business functions to ensure Compliance requirements are met

Requirements

• Have 4 - 6 years of experience working in a compliance role at a financial services firm • Have knowledge of the SEC’s Investment Advisers Act of 1940 • Have experience supporting a compliance program for a registered investment adviser, ideally for both wealth management and private funds businesses • Have experience developing processes and 'operationalizing' compliance functions • Are willing to learn and leverage technology tools to help drive efficiency and progress • Are well-organized and pay attention to the details • Like to 'roll up your sleeves' and get things done • Enjoy solving problems and finding creative solutions for our clients • Don’t get flustered easily • Can communicate effectively with a broad range of stakeholders • Are discreet in handling sensitive and confidential information • Work well independently and as part of a team • Have a bachelor’s degree with 7+ of professional work experience

Benefits

• Medical, dental & vision insurance – 100% of premium covered for employees • 401k participation with employer contribution • Generous paid time off • Commuter benefits program (pre-paid tax dollars towards your commute) • Fitness Reimbursement • Annual Professional Development and Mindfulness Stipend