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

401k participation with employer match

Generous paid time off

Commuter benefits

Fitness Reimbursement

Professional Development Stipend

Job summary

Jordan Park Group in San Francisco seeks an experienced Compliance professional to support our multi-family office and investment advisory firm. You will work with the Compliance team to uphold regulatory standards and manage risk.

Responsibilities include monitoring employee activities, assisting with regulatory filings (13F, ADV, Form PF), maintaining risk procedures, and delivering training and reporting to senior management. We value integrity and collaboration.

Qualifications

• 3–5 years in financial services compliance.
• Knowledge of the SEC Investment Advisers Act of 1940.
• Experience supporting compliance for private fund advisers.
• Managed Code of Ethics policies and monitoring.
• Experience with 13F, ADV and Form PF filings.
• Ability to develop and operationalize compliance processes.
• Strong communication and stakeholder relationship skills.
• Bachelor’s degree with 5+ years of experience.

Responsibilities

• Approve activities under the Code of Ethics policy.
• Monitor employee electronic communications and activities.
• Assist with regulatory filings and related procedures.
• Maintain the firm’s compliance risk assessment.
• Perform surveillance for policy compliance and issues.
• Manage audits and remediation items with business units.
• Provide compliance training and administer the program.
• Oversee client and investor onboarding compliance tasks.
• Coordinate Vendor Management, Information Security, and Books/Records work.

Skills

Regulatory compliance

SEC Advisers Act knowledge

Code of Ethics oversight

Regulatory filings (13F, ADV, Form PF)

Compliance program development

Risk assessment

Training & communication

Education

Bachelor's degree

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

• Approve employee activities relating to the firm’s Code of Ethics policies
• Monitoring and surveillance of 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 audit and 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 on-boarding 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 provided to senior management, including remediation and exception reporting
• Support strategic projects across business functions to ensure Compliance requirements are met
• Support strategic projects across business functions to ensure Compliance requirements are met

About You

• Have 3 - 5 years of experience working in a compliance role at a financial service, and are familiar with both wealth management and private fund adviser
• Have knowledge of the SEC’s 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, 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 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 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 & Benefits

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

The expected base salary for this role in San Francisco, California will range from $85,000 to $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
• 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

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).