Compliance Associate, Private Funds & Wealth Advisory

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 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.