Associate, Compliance

Jordan Park Group; San Francisco (CA); On-site; USD 85,000 - 115,000; Full time

Benefits offered by this job

Medical, dental & vision insurance

401(k) with employer contribution

Generous paid time off

Commuter benefits program

Fitness Reimbursement

Annual Professional Development Mindfl

Job summary

Jordan Park Group, a San Francisco-based investment advisory and multi-family office, seeks an Associate of Compliance to support Code of Ethics, surveillance, and testing programs. You will help supervise regulatory filings, onboarding, and vendor risk while collaborating with the Compliance team.

The role emphasizes governance, integrity, and risk management in a trusted advisory context. You will work closely with the Chief Compliance Officer and partners across wealth management and private

Qualifications

• 3–5 years of experience in a compliance role at a financial services firm
• Knowledge of the Investment Advisers Act of 1940 (experience with affiliated broker-dealer activities a plus)
• Experience supporting a compliance program for a private fund investment adviser
• Managed Code of Ethics policies and related monitoring and approval activities for an investment adviser
• Experience with regulatory filings such as 13F, From ADV, and Form PF

Responsibilities

• Approve employee activities relating to the firm’s Code of Ethics policies
• Monitor 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 audits and compliance 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 onboarding 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 for senior management, including remediation and exception reporting
• Support strategic projects across business functions to ensure Compliance requirements are met

Skills

Regulatory compliance

Financial services

Code of Ethics

Regulatory filings

Stakeholder communication

Attention to detail

Education

Bachelor's degree

Tools

Regulatory filings software

Compliance surveillance tools

Job description

Jordan Park provides investment management and financial advice to a distinct community of individuals, families, and institutions. Our clients have made extraordinary contributions to business, philanthropy, government, and society. Our team is composed of empathetic problem solvers with depth and diversity of experience. We embrace complexity and navigate challenges to empower clients to achieve their optimal outcomes.

Our mission is to enhance lives and legacies.

We are looking for an exceptional compliance professional to support the growth of our multi-family office and investment advisory firm based in San Francisco. This is an opportunity to work within the Compliance team led by the Chief Compliance Officer. The Compliance team works closely with our partners across the advisory and investment businesses, within a firm united by a passion for service, strong sense of integrity, and desire to have a positive impact in the world. We strive to create a best-in-class compliance program in support of serving clients at the highest level of trust and partnership, and to reflect the firm’s commitment to meeting our regulatory obligations and managing risk.

About the Role

The Associate of Compliance will be primarily responsible for helping to manage the firm’s Code of Ethics and compliance training programs, including the policies and procedures relating to both the firm’s wealth management and private fund business activities. Primary responsibilities will initially involve monitoring the firm’s Code of Ethics and related surveillance and testing. Other responsibilities will evolve over time as business growth continues and will reflect the candidate’s level of experience. Responsibilities will generally include some or all of the following:

• Approve employee activities relating to the firm’s Code of Ethics policies
• Monitor employee activities, including electronic communications
• Assist with regulatory filings and maintain related proceduresSupport the ongoing maintenance of the firm’s compliance risk assessment
• Perform surveillance tasks to verify the firm’s compliance with policies and procedures
• Manage audits and compliance 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 onboarding 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 for senior management, including remediation and exception reporting
• Support strategic projects across business functions to ensure Compliance requirements are met

About You

This role might be right for you if you:

• Have 3-5 years of experience working in a compliance role at a financial services firm, and are familiar with both wealth management and private fund business markets
• Have knowledge of the Investment Advisers Act of 1940 (experience with and understanding of affiliated broker-dealer activities a plus)
• Have experience supporting a compliance program for a private fund investment adviser
• Have managed Code of Ethics policies and related monitoring and approval activities for an investment adviser
• Experience with regulatory filings such as 13F, From ADV, and Form PF
• 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 demonstrate strong attention to detail
• 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 and build strong relationships 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 5+ years of professional work experience

Compensation at Jordan Park includes a base salary, discretionary year-end bonus, benefits, and other perks. We apply a total rewards philosophy when determining compensation terms.

The expected base salary for this role in San Francisco, California, will range from $85,000-$115,000 per year, commensurate with experience, job-related skills, relevant education, licenses and certifications, and other business and organizational needs.

Our benefits package includes:

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

We are empathetic problem solvers and subject matter experts, committed to serving clients at the highest level of trust and partnership. Our hallmarks of responsiveness, availability, dependability, and competency are our highest priorities.

Jordan Park is always seeking great talent. We are 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.

For information about our privacy practices, including disclosures for California residents, please see our Privacy Notice

Jordan Park is an SEC-registered investment adviser (RIA).