What are the responsibilities and job description for the Compliance Analyst position at Cardea Group?
Compliance Analyst (San Francisco, CA) : Our client, a thriving $2B private / growth equity firm, is seeking to hire a Compliance Analyst as an add to staff. This newly created position will collaborate closely with the Deputy Chief Compliance Officer, the Partner, CFO, and CCO, providing day-to-day support to the compliance department in managing the firm’s compliance program.
Key Points :
Exceptional opportunity for career advancement, opening pathways to senior-level roles.
Collaborate with a dynamic, cohesive team while gaining significant exposure to senior leadership.
They are actively expanding, offering a dynamic work environment, where compliance is seen as a partner to the business.
Firm has a people-first culture and offers flexibility, requiring 2 days in the office per week.
Responsibilities :
Manage the firm's compliance reporting software, including certifications, brokerage connections, compliance filings (Code of Ethics review, pre-clearances, etc.), and the managed account process with third-party brokers.
Support the review, approval, and oversight of expert network calls.
Assist in documenting the compliance program including drafting committee minutes, preparing compliance memos, and maintaining various compliance logs.
Facilitate the vendor due diligence process by proactively following up with vendors to ensure timely completion of assessments and assisting in the thorough review of submitted evaluations.
Create, maintain, and oversee the compliance calendar and its related ongoing tasks.
Support compliance testing, including the annual compliance review.
Assist in overseeing third-party compliance vendors, including compliance and cybersecurity consultants.
Prepare regulatory filings, including Form ADV, Form PF, and Form 13F, along with responses to investor operational due diligence inquiries and other requests.
Contribute to the revision of compliance policies and procedures, including the Compliance Manual, Code of Ethics, Cybersecurity Policy, and Business Continuity Plan (BCP).
Work closely with the Deputy Chief Compliance Officer and Chief Compliance Officer to develop and strengthen the compliance program.
Support the marketing review process by assisting in managing workflows within Red Oak software.
Qualifications :
1-3 years of experience in SEC Registered Investment Adviser (RIA) compliance roles, preferably with regulated investment firms.
Bachelor's Degree, preferably in Business or Finance.
Proficient in ComplySci, Smarsh, and working with third-party consultants.
Exceptional attention to accuracy and precision; highly organized and detail-focused.
Proactive and self-driven, committed to delivering high-quality results.
Capable of managing multiple projects concurrently while adhering to deadlines.
Eager to engage actively and collaborate with team members across various disciplines and external partners, serving as a positive representative of the firm.
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