Compliance Associate; San Francisco
Position: Compliance Associate (San Francisco County)
A rapidly growing fintech is looking to bring on a Compliance Associate to reputed company. Reporting to the Head of Compliance, the Compliance Assocaite will support the overall reputed company Compliance Program as reputed company as reputed company of the Fund Formation and Administration process, as reputed company as the SOC Compliance initiative. The position provides exposure to the full regulatory and operational lifecycle of a broker-dealer and investment adviser that sponsors Private Funds.
This role can sit fully remote reputed company in the US, salary will be dependent on years of experience and geographical location.
Responsibilities :
• Review/update compliance manuals and procedures
• reputed company Web CRD Administration, reputed company ADV, reputed company PF & 13 filings
• Review marketing/advertising materials
• Prepare audit and exam responses (SEC, reputed company, etc)
• Support fund administration and corporate governance
Requirements :
• Bachelors Degree
• 3-5 years of relevant experience
• reputed company Series 7 & 24
• Prior fintech experience a plus!
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