Associate, Compliance

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. Responsibilities will generally include some or all of the following:
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
Support strategic projects across business functions to ensure Compliance requirements are met
About You
This role might be right for you if you:
Have 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
Have knowledge of the SEC’s Investment Advisers Act of 1940 (experience with and understanding of affiliated broker/dealer activities a plus)
Have experience supporting a compliance program for a private fund investment adviser
Have 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
Have experience developing processes and “operationalizing” compliance functions
Are willing to learn and leverage technology tools to help drive efficiency and progress
Are 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
Have a bachelor’s degree with 5+ years of professional work experience
Compensation & Benefits
Compensation at Jordan Park includes a base salary, discretionary year-end bonus, benefits, and other perks. We apply a total reward philosophy when determining compensation terms.
The expected base salary for this role in San Francisco, California will range from $85,000 to $115,000 per year commensurate with experience, job-related skills, relevant education, licenses and certifications, and other business and organizational needs.
Our benefits package includes:
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
We are empathetic problem solvers and subject matter experts, committed to serving clients at the highest level of trust and partnership. Our hallmarks of responsiveness, availability, dependability, and competency are our highest priorities.
Jordan Park is always seeking great talent. We are proud to be an equal opportunity employer, and we consider qualified applicants without regard to race, color, religion, sex, national origin, ancestry, age, genetic information, sexual orientation, gender identity, marital or family status, veteran status, medical condition or disability. We comply with the San Francisco Fair Chance Ordinance and will consider for employment qualified applicants with arrest and conviction records.
For information about our privacy practices, including disclosures for California residents, please see our Privacy Notice
Jordan Park is an SEC-registered investment adviser (RIA).