Compliance Associate

A leading, institutional asset management firm located in San Francisco is looking to bring on an experienced Compliance Associate to their team. This firm's investments span across public and private debt and equity securities, direct investments in private companies, and real estate with offices around the globe.

The Compliance Associate will be working closely with the Deputy Chief Compliance Officer and be involved in ensuring the firm's trading activity is in compliance with relevant rules and regulations.

Key Responsibilities:

Monitor trading activities to ensure compliance with regulatory and internal requirements.

Collaborate with global legal/compliance, trading, operations, and investment teams regarding portfolio activity.

Process NDAs, manage wall crossings, etc

Monitor positions for global regulatory reporting obligations and prepare necessary disclosures.

Identify and escalate compliance issues.

Qualifications:

Bachelor's degree.

4+ years of relevant experience

Strong understanding of financial markets and regulatory frameworks