Senior Associate / Associate Director - Compliance ...

Location: San FranciscoCompensation: $130k-$180k base + bonusResponsibilities:Lead and support the sales cycle; pitches, proposals, and general contract termsSupport a large portfolio of clients as the primary resource for daily oversightMaintain knowledge of compliance and regulatory matters relating to investment advisor and broker-dealer rulesUnderstand regulatory mock examination audits, including documentation requests, onsite reviews and report draftingLead clients on developing policies and procedures relating to compliance manuals, code of ethics and other areas within the businessLead compliance protocols and training regarding use of expert networks / MNPI, marketing, personal trading, electronic communications surveillance, best execution, SEC 206(4)-7 reviews, etc.Anticipate client regulatory risks and expectationsBe up to date on current regulatory developments and abreast of new developments on the horizonExperience with Financial Conduct Authority (FCA) or other global regulators a plusREQUIREMENTS:Undergrad degree required from an accredited college or university, J.D. or Advanced degree a plus6-8 years of total industry experience working at one or more asset managers (in-house), law firm (paralegal), advisory services firm or ex. regulatorStrong inter-personal skills, ability to independently (or as part of a team) work on-site at a client officeExcellent written and verbal communication skillsIndependent, self-starter, entrepreneurial mind-set, as well as collaborative problem solverStrong analytical and research skillsAbility to multi-task and prioritize across a range of projects with constantly shifting priorities in a team environmentAbility to master new tasks quickly and effectivelyMust have the ability to start with limited restrictions

Created: 2025-01-17