Senior Compliance Officer

Fernridge Group; San Francisco (CA); Hybrid; USD 100,000 - 140,000; Full time

Job summary

A growing alternative asset manager in the San Francisco Bay Area is seeking a Senior Compliance Officer to join their team. This role involves conducting compliance reviews, designing policies, and preparing regulatory filings. The firm values collaboration and offers a hybrid work model with excellent work/life balance and competitive compensation.

Benefits

Excellent work/life balance

Competitive compensation

Benefits

Qualifications

• Minimum 5 years of alternative asset compliance experience.
• Experience mentoring / working alongside junior resources.

Responsibilities

• Conduct general compliance reviews including personal securities transaction reviews.
• Design and implement compliance policies and procedures.
• Prepare regulatory filings (i.e. ADV, Form 13F, Form PF).

Skills

Attention to Detail

Interpersonal Skills

Self-Motivation

Education

Bachelor's Degree

JD

Job description

Senior Compliance Officer (San Francisco Bay Area) : Our client, a growing alternative asset manager with over $10B AUM, is seeking a senior compliance officer to join their team. This person will work alongside the GC / CCO touching US and international compliance.

Highlights :

• Opportunity to join a growing firm in a newly created capacity working alongside a talented GC / CCO as the first fully dedicated compliance hire
• Firm encourages an open door policy and values kind, smart, collaborative people
• Highly visible and interactive role across teams and all levels internally
• Hybrid work (4 days in) and excellent work / life balance, benefits, and compensation

Responsibilities :

• Conduct general compliance reviews including : personal securities transaction reviews, investment restriction reviews; vendor management reviews, social media and political contributions testing
• Design and implement compliance policies, procedures and related controls and testing protocols
• Prepare regulatory filings (i.e. ADV, Form 13F, Form PF)
• Review, edit and update all marketing materials and decks
• Support IR on all compliance matters relating to Client / LP inquiries
• Handle special projects and / or other duties as assigned by CCO and Management
• Gift and entertainment reviews (Conduct reviews on reported gifts and entertainment requests to confirm consistency with global policies and regulatory requirements)
• Monitors employee trading to safeguard the firm and to prevent employees from trading on, or the appearance of trading on, material non-public information and liaise with all employees relating to their personal trades

Qualifications :

• Minimum 5 years of alternative asset compliance experience
• Bachelor's Degree and strong educational background; JD is a strong plus, but not required
• High level of self-motivation and interpersonal skills
• High level of attention to detail
• Experience mentoring / working alongside junior resources

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Compliance Officer • San Francisco Bay Area, United States