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Compliance Analyst

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Social Capital Resources LLC

2024-11-05 18:44:27

Job location San Francisco, California, United States

Job type: fulltime

Job industry: Administration

Job description

Top-Tier Investment Manager in San Francisco is looking for a permanent Compliance Analyst!

Responsibilities:

Interface with the compliance team, management, operations, or legal, as appropriate, to communicate, coordinate and resolve issues and respond to requests

Counsel business associates on regulatory and compliance requirements

Coordinate with the firm's outside service providers to ensure regulatory filings are made timely and accurately.

Update and file all required regulatory filings including, but not limited to ADVs and other periodic filings

Update and amend Compliance Manual, Code of Ethics and other compliance policies and procedures.

Conduct reviews and prepare reports on the investment adviser's brokerage practices and best execution.

Perform Annual Compliance Review, Risk Assessment Review, Employee Compliance Training and Marketing Materials Review

Engage in special projects, initiatives, and other activities of an ad hoc nature.

Qualifications:

In-depth knowledge of SEC and Client broker-dealer regulation and regulatory environment

Trade Surveillance experience is a must

Must have working knowledge of Investment Advisors Act of 1940

Experience with Mutual Funds

Familiarity within a regulatory, legal, compliance or business capacity

Charles River experience is a plus

Inform a friend!

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