Compliance Associate

San Francisco

Permanent

USD140000 - USD160000

Regulatory

PR/545504_1747260090

A leading, institutional asset management firm located in San Francisco is looking to bring on an experienced Compliance Associate to their team. This firm's investments span across public and private debt and equity securities, direct investments in private companies, and real estate with offices around the globe.

The Compliance Associate will be working closely with the Deputy Chief Compliance Officer and be involved in ensuring the firm's trading activity is in compliance with relevant rules and regulations.

Key Responsibilities:

Monitor trading activities to ensure compliance with regulatory and internal requirements.
Collaborate with global legal/compliance, trading, operations, and investment teams regarding portfolio activity.
Process NDAs, manage wall crossings, and handle other information access.
Monitor positions for global regulatory reporting obligations and prepare necessary disclosures.
Identify and escalate compliance issues.
Complete assigned reviews on a daily, weekly, monthly, quarterly, and annual basis.
Support cross-training within the team to ensure comprehensive compliance coverage.

Qualifications:

Bachelor's degree.
4+ years of relevant experience
Strong understanding of financial markets and regulatory frameworks

FAQs

I have applied for a role, what happens next?

Congratulations, we understand that taking the time to apply is a big step. When you apply, your details go directly to the consultant who is sourcing talent. Due to demand, we may not get back to all applicants that have applied. However, we always keep your resume and details on file so when we see similar roles or see skillsets that drive growth in organizations, we will always reach out to discuss opportunities.

This role doesn’t 100% suit my next professional move, can you help?

Yes. Even if this role isn’t a perfect match, applying allows us to understand your expertise and ambitions, ensuring you're on our radar for the right opportunity when it arises.

We also work in several ways, firstly we advertise our roles available on our site, however, often due to confidentiality we may not post all. We also work with clients who are more focused on skills and understanding what is required to future-proof their business.

That's why we recommend registering your resume so you can be considered for roles that have yet to be created.

Can you help with resume preparation, interviews, and offer negotiation?

Yes, we help with resume and interview preparation. From customized support on how to optimize your resume to interview preparation and compensation negotiations, we advocate for you throughout your next career move.