Job Details

Title: Compliance Senior Analyst / Manager

Firm: $3.5B + PE firm

Location: San Francisco, CA OR Austin, TX

Remote Work Policy:

• 2 days/week in office

Role 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 processes
• Expert Networks: Review, approve, and chaperone calls to ensure compliance
• Documentation: Draft compliance memos, committee minutes, and maintain compliance logs
• Vendor Due Diligence: Manage assessments and review vendor submissions
• Compliance Calendar: Maintain ongoing tasks, including Code of Ethics, AML, and forensic testing
• Testing & Reviews: Assist in annual compliance review and broader program testing
• Third-Party Oversight: Manage compliance and cybersecurity vendors
• Regulatory Filings: Draft Form ADV, Form PF, and Form 13F filings
• Policy Updates: Support updates to compliance manuals, Codes of Ethics, Cybersecurity, and BCP policies
• Investor Requests: Draft responses to operational due diligence and investor inquiries
• Marketing Review: Assist with workflows in Red Oak software

Qualifications:

• 2–5 years of SEC RIA compliance experience, ideally at a regulated investment firm
• Bachelor's degree required (Finance or Business preferred)
• Experience with compliance tools such as ComplySci, Smarsh, Red Oak, and MirrorWeb
• Highly organized, detail-oriented, with strong analytical and problem-solving skills
• Excellent verbal and written communication skills
• Self-motivated, proactive, and capable of handling multiple projects with tight deadlines
• Team player with a collaborative mindset and professional presence