Jordan Park provides comprehensive investment and financial advice to a targeted community of individuals, families, and institutions. Our clients have made extraordinary contributions to business, philanthropy, government, and society. We are empathetic problem solvers with depth and diversity of experience. We embrace complexity, shoulder problems, and navigate challenges to empower clients to achieve their optimal outcomes. Our mission is to enhance lives and legacies.

 

Senior Associate, Compliance
San Francisco, CA

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 Senior Associate of Compliance will be responsible for a number of critical regulatory and compliance processes for the firm, including the policies and procedures relating to the firm’s wealth management and private fund business activities. Primary responsibilities will evolve over time as the business growth continues and will reflect the candidate’s level of experience. Responsibilities will generally include some or all of the following:  

  • Ensure the firm’s compliance with regulatory obligations through creation and maintenance of policies and procedures
  • Manage regulatory filings and maintain related procedures
  • Review and approval of marketing and client communications, in close collaboration with client coverage and investment teams
  • Manage the firm’s compliance training program
  • Maintenance of the firm’s privacy policy and related procedures
  • Manage audit and testing reviews, working with business units to resolve findings and remediation items
  • Approve employee activities relating to the firm’s Code of Ethics policies
  • Monitoring and surveillance of employee activities, including electronic communications
  • Provide compliance oversight of the investment activities, including in relation to the firm’s private funds, ensuring compliance with the firm’s Conflicts of Interest, Handling of MNPI, Valuation, Allocation, Trading, and other related policies
  • Provide compliance oversight of the firm’s client and investor on-boarding activities
  • Compliance coverage of the firm’s Vendor Management, Information Security, Cybersecurity and Books and Records programs
  • Responsible for surveillance tasks to verify the firm’s compliance with policies and procedures
  • Create and maintain reporting of Compliance activities, including remediation and exception reporting, to senior management
  • Support strategic projects across business functions to ensure Compliance requirements are met

About You

This role might be right for you if you: 

  • Have 4 - 6 years of experience working in a compliance role at a financial services firm
  • Have knowledge of the SEC’s Investment Advisers Act of 1940
  • Have experience supporting a compliance program for a registered investment adviser, ideally for both wealth management and private funds businesses
  • Have managed regulatory change implementation including rule analysis, policy development and training
  • Are familiar with marketing and solicitation rules in non-U.S. jurisdictions
  • 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 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 7+ years of professional work experience (JD from an accredited law school is a plus)

Compensation & Benefits

Compensation at Jordan Park includes a base salary, discretionary year-end bonus, benefits and other perks.  We apply a total reward philosophy when determining compensation terms.

The expected base salary for this role in San Francisco, CA will range from $125,000 - $135,000 per year commensurate with experience, job-related skills, relevant education, licenses and certifications, and other business and organizational needs.

Our benefits package includes: 

  • Medical, dental & vision insurance – 100% of premium covered for employees
  • 401k participation with employer contribution
  • Generous paid time off 
  • Commuter benefits program (pre-paid tax dollars towards your commute)
  • Fitness Reimbursement
  • Annual Professional Development Stipend

 

 

We are empathetic problem solvers and subject matter experts, committed to serving clients at the highest level of trust and partnership. Our hallmarks of responsiveness, availability, dependability, and competency are our highest priorities.

Jordan Park is always seeking great talent.  We are proud to be an equal opportunity employer, and we consider qualified applicants without regard to race, color, religion, sex, national origin, ancestry, age, genetic information, sexual orientation, gender identity, marital or family status, veteran status, medical condition or disability.  We comply with the San Francisco Fair Chance Ordinance and will consider for employment qualified applicants with arrest and conviction records.

For information about our privacy practices, including disclosures for California residents, please see our Privacy Notice

Jordan Park is an SEC-registered investment adviser (RIA). 

Apply for this Job

* Required
resume chosen  
Google Drive
(File types: pdf, doc, docx, txt, rtf)
Cancel
cover_letter chosen  
Google Drive
(File types: pdf, doc, docx, txt, rtf)
Cancel
When autocomplete results are available use up and down arrows to review
+ Add another education

Voluntary Self-Identification

For government reporting purposes, we ask candidates to respond to the below self-identification survey. Completion of the form is entirely voluntary. Whatever your decision, it will not be considered in the hiring process or thereafter. Any information that you do provide will be recorded and maintained in a confidential file.

As set forth in Jordan Park Group’s Equal Employment Opportunity policy, we do not discriminate on the basis of any protected group status under any applicable law.

Race & Ethnicity Definitions

If you believe you belong to any of the categories of protected veterans listed below, please indicate by making the appropriate selection. As a government contractor subject to the Vietnam Era Veterans Readjustment Assistance Act (VEVRAA), we request this information in order to measure the effectiveness of the outreach and positive recruitment efforts we undertake pursuant to VEVRAA. Classification of protected categories is as follows:

A "disabled veteran" is one of the following: a veteran of the U.S. military, ground, naval or air service who is entitled to compensation (or who but for the receipt of military retired pay would be entitled to compensation) under laws administered by the Secretary of Veterans Affairs; or a person who was discharged or released from active duty because of a service-connected disability.

A "recently separated veteran" means any veteran during the three-year period beginning on the date of such veteran's discharge or release from active duty in the U.S. military, ground, naval, or air service.

An "active duty wartime or campaign badge veteran" means a veteran who served on active duty in the U.S. military, ground, naval or air service during a war, or in a campaign or expedition for which a campaign badge has been authorized under the laws administered by the Department of Defense.

An "Armed forces service medal veteran" means a veteran who, while serving on active duty in the U.S. military, ground, naval or air service, participated in a United States military operation for which an Armed Forces service medal was awarded pursuant to Executive Order 12985.

Voluntary Self-Identification of Disability

Form CC-305
Page 1 of 1
OMB Control Number 1250-0005
Expires 04/30/2026

Why are you being asked to complete this form?

We are a federal contractor or subcontractor. The law requires us to provide equal employment opportunity to qualified people with disabilities. We have a goal of having at least 7% of our workers as people with disabilities. The law says we must measure our progress towards this goal. To do this, we must ask applicants and employees if they have a disability or have ever had one. People can become disabled, so we need to ask this question at least every five years.

Completing this form is voluntary, and we hope that you will choose to do so. Your answer is confidential. No one who makes hiring decisions will see it. Your decision to complete the form and your answer will not harm you in any way. If you want to learn more about the law or this form, visit the U.S. Department of Labor’s Office of Federal Contract Compliance Programs (OFCCP) website at www.dol.gov/ofccp.

How do you know if you have a disability?

A disability is a condition that substantially limits one or more of your “major life activities.” If you have or have ever had such a condition, you are a person with a disability. Disabilities include, but are not limited to:

  • Alcohol or other substance use disorder (not currently using drugs illegally)
  • Autoimmune disorder, for example, lupus, fibromyalgia, rheumatoid arthritis, HIV/AIDS
  • Blind or low vision
  • Cancer (past or present)
  • Cardiovascular or heart disease
  • Celiac disease
  • Cerebral palsy
  • Deaf or serious difficulty hearing
  • Diabetes
  • Disfigurement, for example, disfigurement caused by burns, wounds, accidents, or congenital disorders
  • Epilepsy or other seizure disorder
  • Gastrointestinal disorders, for example, Crohn's Disease, irritable bowel syndrome
  • Intellectual or developmental disability
  • Mental health conditions, for example, depression, bipolar disorder, anxiety disorder, schizophrenia, PTSD
  • Missing limbs or partially missing limbs
  • Mobility impairment, benefiting from the use of a wheelchair, scooter, walker, leg brace(s) and/or other supports
  • Nervous system condition, for example, migraine headaches, Parkinson’s disease, multiple sclerosis (MS)
  • Neurodivergence, for example, attention-deficit/hyperactivity disorder (ADHD), autism spectrum disorder, dyslexia, dyspraxia, other learning disabilities
  • Partial or complete paralysis (any cause)
  • Pulmonary or respiratory conditions, for example, tuberculosis, asthma, emphysema
  • Short stature (dwarfism)
  • Traumatic brain injury

PUBLIC BURDEN STATEMENT: According to the Paperwork Reduction Act of 1995 no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. This survey should take about 5 minutes to complete.

Enter the verification code sent to to confirm you are not a robot, then submit your application.

This application was flagged as potential bot traffic. To resubmit your application, turn off any VPNs, clear the browser's cache and cookies, or try another browser. If you still can't submit it, contact our support team through the help center.