Investment Compliance Analyst (Contract to Perm)

Taylor Root

San Francisco (CA)

On-site

USD 65,000 - 105,000

Full time

5 days ago

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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.