Senior Compliance Associate

Title: Compliance Senior Analyst / ManagerFirm: $3.5B + PE firmLocation: San Francisco, CA OR Austin, TX Remote Work Policy:2 days/week in officeRole Overview:The firm is seeking a Compliance Sr. Analyst / Manager to join its compliance team. This role will report to the Deputy Chief Compliance Officer and work closely with the CCO/CFO. The successful candidate will play a key role in managing the day-to-day operations of the compliance program and enhancing the firm's regulatory infrastructure.Key Responsibilities:Compliance Systems (ComplySci): Manage reporting software, set up certifications, review brokerage connections, monitor filings (e.g., pre-clearances, Code of Ethics), and oversee managed account processesExpert Networks: Review, approve, and chaperone calls to ensure complianceDocumentation: Draft compliance memos, committee minutes, and maintain compliance logsVendor Due Diligence: Manage assessments and review vendor submissionsCompliance Calendar: Maintain ongoing tasks, including Code of Ethics, AML, and forensic testingTesting & Reviews: Assist in annual compliance review and broader program testingThird-Party Oversight: Manage compliance and cybersecurity vendorsRegulatory Filings: Draft Form ADV, Form PF, and Form 13F filingsPolicy Updates: Support updates to compliance manuals, Codes of Ethics, Cybersecurity, and BCP policiesInvestor Requests: Draft responses to operational due diligence and investor inquiriesMarketing Review: Assist with workflows in Red Oak softwareQualifications:2-5 years of SEC RIA compliance experience, ideally at a regulated investment firmBachelor's degree required (Finance or Business preferred)Experience with compliance tools such as ComplySci, Smarsh, Red Oak, and MirrorWebHighly organized, detail-oriented, with strong analytical and problem-solving skillsExcellent verbal and written communication skillsSelf-motivated, proactive, and capable of handling multiple projects with tight deadlinesTeam player with a collaborative mindset and professional presence

Created: 2026-05-08