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Compliance Associate
Compliance AssociateLarson Maddox • San Francisco County, CA, United States
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Compliance Associate

Compliance Associate

Larson Maddox • San Francisco County, CA, United States
[job_card.variable_days_ago]
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  • [job_card.full_time]
[job_card.job_description]

A rapidly growing fintech is looking to bring on a Compliance Associate to the team. Reporting to the Head of Compliance, the Compliance Assocaite will support the overall Core Compliance Program as well as elements of the Fund Formation and Administration process, as well 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 anywhere in the US, salary will be dependent on years of experience and geographical location.

Responsibilities :

  • Review / update compliance manuals and procedures
  • Perform Web CRD Administration, Form ADV, Form PF & 13 filings
  • Review marketing / advertising materials
  • Prepare audit and exam responses (SEC, FINRA, etc)
  • Support fund administration and corporate governance

Requirements :

  • Bachelors Degree
  • 3-5 years of relevant experience
  • FINRA Series 7 & 24
  • Prior fintech experience a plus!
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