Associate, Compliance

Jordan Park Group • San Francisco, CA

2d • Onsite

About The Position

Jordan Park provides investment management and financial advice to a distinct community of individuals, families, and institutions. Our clients have made extraordinary contributions to business, philanthropy, government, and society. Our team is composed of empathetic problem solvers with depth and diversity of experience. We embrace complexity and navigate challenges to empower clients to achieve their optimal outcomes. Our mission is to enhance lives and legacies. 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.

Requirements

• 3 - 5 years of experience working in a compliance role at a financial service, and are familiar with both wealth management and private fund adviser
• Knowledge of the SEC’s Investment Advisers Act of 1940 (experience with and understanding of affiliated broker/dealer activities a plus)
• Experience supporting a compliance program for a private fund investment adviser
• Managed Code of Ethics policies and related monitoring and approval activities for an investment adviser
• Experience with regulatory filings such as 13F, ADV and Form PF
• Experience developing processes and “operationalizing” compliance functions
• Willing to learn and leverage technology tools to help drive efficiency and progress
• Well-organized and pay attention to the details
• 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
• A bachelor’s degree with 5+ years of professional work experience

Nice To Haves

• experience with and understanding of affiliated broker/dealer activities

Responsibilities

• Approve employee activities relating to the firm’s Code of Ethics policies
• Monitoring and surveillance of 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 audit and 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 on-boarding 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 provided to senior management, including remediation and exception reporting
• Support strategic projects across business functions to ensure Compliance requirements are met

Benefits

• Medical, dental & vision insurance – 100% of premium covered for employees
• 401k participation with employer contribution
• Generous paid time off
• Commuter benefits program (pre-paid tax dollars towards your commute)
• Fitness Reimbursement
• Annual Professional Development and Mindfulness Stipend

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level