Senior Associate / Associate Director - Compliance Consultant

Location: San Francisco Compensation: $130k-$180k base bonus Responsibilities: Lead and support the sales cycle; pitches, proposals, and general contract terms Support a large portfolio of clients as the primary resource for daily oversight Maintain knowledge of compliance and regulatory matters relating to investment advisor and broker-dealer rules Understand regulatory mock examination audits, including documentation requests, onsite reviews and report drafting Lead clients on developing policies and procedures relating to compliance manuals, code of ethics and other areas within the business Lead compliance protocols and training regarding use of expert networks / MNPI, marketing, personal trading, electronic communications surveillance, best execution, SEC 206(4)-7 reviews, etc. Anticipate client regulatory risks and expectations Be up to date on current regulatory developments and abreast of new developments on the horizon Experience with Financial Conduct Authority (FCA) or other global regulators a plus REQUIREMENTS: Undergrad degree required from an accredited college or university, J.D. or Advanced degree a plus 6-8 years of total industry experience working at one or more asset managers (in-house), law firm (paralegal), advisory services firm or ex. regulator Strong inter-personal skills, ability to independently (or as part of a team) work on-site at a client office Excellent written and verbal communication skills Independent, self–starter, entrepreneurial mind-set, as well as collaborative problem solver Strong analytical and research skills Ability to multi-task and prioritize across a range of projects with constantly shifting priorities in a team environment Ability to master new tasks quickly and effectively Must have the ability to start with limited restrictions

Location: San Francisco, CA, US

Posted Date: 1/18/2025