Junior Investment Compliance Analyst

Taylor Root; Menlo Park (CA); On-site; USD 60,000 - 90,000; Full time

Job summary

Taylor Root is assisting a leading global investment management firm seeking a Compliance Analyst / Associate to support its U.S. Compliance team in Northern California. This is an early-career role with approximately 1–2 years of experience, with buy-side exposure preferred but not required.

The position starts as a 3-month contract, with potential for extension and/or conversion to a permanent role. Responsibilities include using StarCompliance for certifications, supporting policy updates,

Qualifications

• Approximately 1–2 years of professional compliance experience.
• Experience in buy-side asset management preferred but not required.
• Interest in investment management and financial services compliance.

Responsibilities

• Manage employee-level compliance matters via StarCompliance, including certifications, Outside Business Activities, political contributions, Gifts & Entertainment requests, personal trading and holdings, and account connection issues.
• Support updates to the Compliance Manual, policies, and procedures, and communicate changes to stakeholders.
• Review and manage expert network requests across GLG, AlphaSights, Capvision, AlphaSense, Slingshot, Six Degrees, and Tegus.
• Assist with compliance testing and monitoring programs and the Annual Compliance Review.
• Support data collection, drafting, and review related to Form ADV and Form PF.
• Review AI-generated risk alerts and conduct electronic communications monitoring using Behavox.
• Collaborate with compliance colleagues, investment professionals, and internal stakeholders on requests.

Skills

Attention to detail

Organizational skills

Written communication

Verbal communication

multitasking

Tools

StarCompliance

Behavox

GLG

AlphaSights

Capvision

AlphaSense

Tegus

Slingshot

Six Degrees

Job description

Taylor Root is assisting a leading global investment management firm seeking a Compliance Analyst / Associate to support its U.S. Compliance team in Northern California. This is an early-career role with approximately 1–2 years of experience, with buy-side exposure preferred but not required.

The position starts as a 3-month contract, with potential for extension and/or conversion to a permanent role. Responsibilities include using StarCompliance for certifications, supporting policy updates,