Associate, Compliance
We are looking for an exceptional compliance professional to support the growth of our multi-family office and investment advisory firm based in San Francisco. This is an opportunity to work within the Compliance team led by the Chief Compliance Officer. The Compliance team works closely with our partners across the advisory and investment businesses, within a firm united by a passion for service, strong sense of integrity, and desire to have a positive impact in the world. We strive to create a best-in-class compliance program in support of serving clients at the highest level of trust and partnership, and to reflect the firm’s commitment to meeting our regulatory obligations and managing risk.
About the Role
The Associate of Compliance will be primarily responsible for helping to manage the firm’s Code of Ethics and compliance training programs, including the policies and procedures relating to both the firm’s wealth management and private fund business activities. Primary responsibilities will initially involve monitoring the firm’s Code of Ethics and related surveillance and testing. Other responsibilities will evolve over time as business growth continues and will reflect the candidate’s level of experience. Responsibilities will generally include some or all of the following:
Approve employee activities relating to the firm’s Code of Ethics policies
Monitor employee activities, including electronic communications
Assist with regulatory filings and maintain related procedures
Support the ongoing maintenance of the firm’s compliance risk assessment
Perform surveillance tasks to verify the firm’s compliance with policies and procedures
Manage audits and compliance testing reviews, working with business units to resolve findings and remediation items
Provide compliance training and administer the firm’s compliance training program
Provide compliance oversight of the firm’s client and investor onboarding activities
Manage compliance tasks relating to the firm’s vendor management, information security, cybersecurity and books and records programs
Create and maintain reporting of compliance activities for senior management, including remediation and exception reporting
Support strategic projects across business functions to ensure Compliance requirements are met
About You
This role might be right for you if you:
Have 3-5 years of experience working in a compliance role at a financial services firm, and are familiar with both wealth management and private fund business markets
Have knowledge of the Investment Advisers Act of 1940 (experience with and understanding of affiliated broker-dealer activities a plus)
Have experience supporting a compliance program for a private fund investment adviser
Have managed Code of Ethics policies and related monitoring and approval activities for an investment adviser
Experience with regulatory filings such as 13F, From ADV, and Form PF
Have experience developing processes and “operationalizing” compliance functions
Are willing to learn and leverage technology tools to help drive efficiency and progress
Are well-organized and demonstrate strong attention to detail
Like to “roll up your sleeves” and get things done
Enjoy solving problems and finding creative solutions for our clients
Don’t get flustered easily
Can communicate effectively and build strong relationships with a broad range of stakeholders
Are discreet in handling sensitive and confidential information
Work well independently and as part of a team
Have a bachelor’s degree with 5+ years of professional work experience
Compensation & Benefits
Compensation at Jordan Park includes a base salary, discretionary year-end bonus, benefits, and other perks. We apply a total rewards philosophy when determining compensation terms.
The expected base salary for this role in San Francisco, California, will range from $85,000-$115,000 per year, commensurate with experience, job-related skills, relevant education, licenses and certifications, and other business and organizational needs.
Our benefits package includes:
Medical, dental & vision insurance – 100% of premium covered for employees
401(k) participation with employer contribution
Generous paid time off
Commuter benefits program (pre-tax dollars towards your commute)
Fitness Reimbursement
Annual Professional Development and Mindfulness Stipend