Title: Compliance Associate
Firm: Leading Real Estate Investment Management Firm
Location: San Francisco, CA
Compensation Range: $125,000 to $135,000 base plus year end bonus
Compliance Associate (San Francisco, CA):Our client, a leading specialist in real estate investment management, is looking to bring a responsible compliance associate who will assist with efficiency in all the compliance functions of the firm.
Key Points:
- Excellent opportunity to contribute to an entrepreneurial, growing organization
- Opportunity to be involved in close collaboration with the compliance and legal teams, and other departments
- You will be reporting directly to the General Counsel who is excited to mentor and help
Responsibilities:
- Maintain and update compliance policies and procedures to align with applicable laws and regulations
- Coordinate responses to compliance reviews and manage related correspondence
- Conduct forensic testing and annual reviews in various risk areas, preparing reports for senior management
- Oversee the vendor due diligence process (onboarding and monitoring)
- Research regulatory changes and summarize updates for compliance
- Ensure employee compliance with policies and regulations
- Assist with regulatory examination preparations
- Manage Code of Ethics documentation, including trading patterns and conflicts of interest
- Facilitate compliance training for new and existing employees, developing training materials
- Maintain records for financings, acquisitions, and funds, ensuring documentation is complete and organized
- Assist in drafting closing documents and signature packages
- Help with investment adviser registration filings (Form ADV and SEC filings)
Qualifications:
- Bachelor’s degree in finance, accounting, legal or related field - JD preferred, but not required
- 2 - 5 years of experience employed by a financial services firm or consulted in a compliance role at an SEC registered investment adviser
- Experience using a compliance software tool such as MyComplianceOffice, ComplySci or similar electronic compliance reporting system
- Solutions oriented, who can communicate and problem-solve effectively
- The ability to thrive in a dynamic and fast-paced environment
