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

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