Regulatory Compliance Specialist

B Capital; San Francisco (CA); On-site; USD 90,000 - 110,000; Full time

Job summary

B Capital is seeking a detail-oriented Compliance Associate to support regulatory and compliance activities. The role requires 3–5 years in trust administration, compliance, fund administration, or related fields, with exposure to SEC requirements.

The successful candidate will collaborate with Legal, Finance, and Operations, handle regulatory filings, maintain records, and ensure timely reporting. A Bachelor’s degree or equivalent is expected.

Qualifications

• 3+ years of relevant experience in trust administration, compliance, fund administration, financial services, or a related regulatory environment.
• SEC requirements, regulatory filings, or SEC-regulated investment managers are strongly preferred.
• Experience in a trust company, fund administrator, investment manager, or similar financial institution is beneficial.
• Strong attention to detail and a high degree of accuracy with regulatory documents and records.
• Highly organized with the ability to manage multiple deadlines and follow-ups simultaneously.
• Excellent written and verbal communication, with the ability to coordinate across teams and levels of seniority.
• Collaborative, proactive, and comfortable in a fast-paced, entrepreneurial environment.
• Strong judgment and discretion when handling confidential information.
• Comfortable with administrative and operational aspects of compliance, including documentation and filing.
• Ability to work independently and take ownership with limited supervision.

Responsibilities

• Work closely with internal stakeholders and external legal and compliance advisors.
• Assist with regulatory filings, registrations, disclosures, and SEC requirements.
• Maintain compliance records, policies, certifications, and supporting documentation.
• Track regulatory deadlines and coordinate with stakeholders for timely completion.
• Support ongoing compliance monitoring, testing, reporting, and recordkeeping.
• Assist with preparation and administration of compliance policies and manuals.
• Coordinate information requests across Legal, Finance, Operations, and Investment teams.
• Support onboarding, due diligence, KYC/AML, conflicts, and other administrative processes.
• Liaise with external counsel, compliance consultants, and service providers.
• Identify gaps in documentation and processes and drive resolution.
• Provide general administrative support to Legal and Compliance.

Skills

Attention to detail

Strong writing

Organizational skills

Communication skills

Independent work

3+ years experience

Collaborative

Education

Bachelor's degree or equivalent

Job description

B Capital is seeking a detail-oriented Compliance Associate to support regulatory and compliance activities. The role requires 3–5 years in trust administration, compliance, fund administration, or related fields, with exposure to SEC requirements.

The successful candidate will collaborate with Legal, Finance, and Operations, handle regulatory filings, maintain records, and ensure timely reporting. A Bachelor’s degree or equivalent is expected.