Compliance Associate — Wealth Management & Private Funds

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 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