Compliance Analyst

Compliance Analyst

Our client, an established and well-performing investment manager in San Francsico CA, is seeking a Compliance Analyst to join their team.

As a Compliance Analyst, you will play a crucial role in maintaining the integrity of our client's operations. Your responsibilities will span across various aspects of compliance, legal, and administration. You will be tasked with maintaining internal compliance records, coordinating regulatory filings, assisting in document reviews, conducting audits, drafting compliance reports, supporting training initiatives, updating policy manuals, drafting legal documents, researching new regulations, among other duties.

The successful candidate will have a strong interest in compliance, legal, and administration, preferably with experience in the financial services industry. This role provides an excellent platform for career growth, offering exposure to a broad range of asset classes including fixed income, private equity, and real assets.

Responsibilties:

Maintain and organise internal compliance books and records

Coordinate regulatory filings pursuant to requirements

Assist in the review and approval of all offering and subscription documents

Conduct continuous rolling audits of the firm’s practice to ensure compliance with all policies and procedures

Assist in the drafting of compliance reports and memorandums to files for any unique compliance related situations

Support the firm's compliance, training, and testing calendars

Annually update the required changes in the firm’s Compliance Manual and Code of Ethics

Draft fund formation documents and regulatory filings

Research and review new SEC and other federal rules

Key Skills:

At least 2 years’ professional experience in legal and compliance roles

Degree: A Juris Doctor, Doctor of Jurisprudence, or Doctor of Law

Strong computer skills with proficiency in Excel, Word, and PowerPoint

Experience with ComplianceAlpha, MyCompliance Office or other compliance administration technology

Excellent oral and written communication skills

Exceptional attention to detail and follow-through capabilities

Ability to prioritise tasks and manage multiple projects on tight schedules

Ability to work well in collaborative, fast-paced environments

Work Schedule:

5 days a week in office