Compliance Analyst/Associate

Taylor Root; San Francisco (CA); On-site; USD 65,000 - 105,000; Full time

Job summary

Taylor Root in San Francisco is seeking a Compliance Analyst/Associate to support the U.S. compliance team in Northern California. This is ideal for an early-career professional with 1–2 years of compliance experience who wants to grow within investment management.

The role begins as a 3-month contract, with potential extension or conversion to permanent. Prior buy-side exposure is preferred but not required.

Qualifications

• Approximately 1–2 years of professional compliance experience.
• Interest in investment management and financial services compliance.
• Strong written and verbal communication skills with attention to detail.
• Ability to manage multiple compliance-related requests and deadlines.
• Experience with StarCompliance, Code of Ethics administration, or related areas is a plus.

Responsibilities

• Manage employee-level compliance matters using StarCompliance and related forms.
• Assist with updates to Compliance Policies and Procedures and disseminate changes.
• Review Expert Network calls and transcripts and coordinate related requests.
• Support annual monitoring/testing programs and document findings.
• Help with Form ADV and Form PF data collection, drafting, and review.
• Assist with electronic communications reviews using Behavox.

Skills

Attention to detail

Strong written communication

Strong verbal communication

Organizational skills

Multi-tasking

StarCompliance experience

Investment management exposure

Stakeholder collaboration

Tools

StarCompliance

Behavox

Job description

A leading global investment management firm is seeking a Compliance Analyst/Associate to support its U.S. compliance team in the Northern CA area.

This opportunity is ideal for an early-career compliance professional with approximately 1–2 years of compliance experience who is interested in expanding their experience within investment management. Prior experience within buy-side asset management is preferred but not required.

The position will begin as a 3-month contract, with the possibility of extension and/or conversion to a permanent position.

Key Responsibilities:

• StarCompliance / Code of Ethics: Manage employee-level compliance matters through StarCompliance, including Annual and Quarterly Forms, Outside Business Activities, Political Contributions, Gifts & Entertainment requests, employee transaction and holdings requests, and connection issues.
• Compliance Manual and Policy Updates: Participate in annual and ad hoc updates to the firm's Compliance Policies and Procedures, disseminate changes to key stakeholders, and update internal resources with changes to policies.
• Expert Network Reviews: Review and manage Investment team requests involving Expert Network calls and transcripts,
• Annual Compliance Review Testing / Compliance Monitoring Program: Manage and document assigned tasks within the annual, quarterly, and monthly testing program, including drafting portions of the Annual Compliance Review report.
• Form ADV and Form PF: Provide support with data collection, drafting, and review of Form ADV and Form PF.
• Electronic Communications Review and Monitoring: Review AI-risk alerts and complete ad hoc electronic communications reviews through Behavox, the firm's electronic communications review platform.

Qualifications:

• Approximately 1–2 years of professional compliance experience; experience may come from any industry
• Prior experience in buy-side asset management is preferred but not required.
• Interest in developing experience within investment management and financial services compliance
• Strong attention to detail and organizational skills
• Ability to manage multiple responsibilities and compliance-related requests
• Strong written and verbal communication skills
• Ability to work effectively with investment professionals and other internal stakeholders
• Experience with StarCompliance, Code of Ethics administration, personal trading, Restricted List monitoring, expert network reviews, Form ADV or Form PF, is a plus

If you are an early-career compliance professional looking to broaden your experience and gain exposure to investment management, venture capital, and private equity compliance, we encourage you to apply.