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Senior Compliance Associate

Company: Agile Fund Solutions, LLC
Location: San Francisco
Posted on: February 25, 2021

Job Description:

Agile Fund Solutions LLC is looking for a Senior Compliance Associate to work in our San Francisco office.Senior Compliance Associate will be responsible for providing the following: * Advising clients on compliance matters, including oversight of personal trading, email review, monitoring of firm trading activity, and maintaining restricted lists* Review and advise on clients marketing and advertising materials in line with the Advisers Act and other applicable regulatory requirements* Preparation and filing of required regulatory filings including Form ADV and Form 13's* Manage client registration with applicable regulators including SEC and CFTC* Assist with regulatory examinations of client compliance programs conducted by regulatory authorities including SEC, NFA, and state regulators* Review client and account documentation for anti-money laundering compliance* Ensure that compliance violation items are properly investigated, documented, and action completed, as per client policies and procedures* Analysis of regulatory environment updates and consideration of application for clients* Present/participate in compliance training for clients and their employees annually* Review of documents and data enabling analysis, critical and technical thinking, for appropriate well thought out decisions* Eye for quality and accuracy of work product* High-level first-class communication with regulators, industry contacts, and clients* Considerable use of tact, diplomacy, confidentiality, discretion, and judgement.Background: * Bachelor's Degree required* 3-5 years of relevant compliance experience (e.g. registered investment adviser, law firm, bank or alternative investment firm)* Knowledge of CFTC/NFA/FINRA requirements, and SEC exam practices, highly regarded.Computer skills:* Competency with Microsoft Office products (Teams, Excel, Word, Outlook, PowerPoint)* Excellent verbal and written communication skills* Experience with My Compliance Office and Global Relay systems highly regarded.Personal: * Ability to focus on matters independently, while balancing multiple client workloads simultaneously in a fast-paced, and sometimes challenging, environment* Requires a motivated self-starting, highly organized, detail orientated and resourceful problem-solver* Must possess excellent follow-up skills to ensure task completion within assigned timelines* Highly developed interpersonal skills* Dedicated team player who values a sophisticated startup/family culture* Demonstrates integrity and a stellar work ethic.Compensation will be competitive, consisting of a base salary and bonus component, and will be commensurate with experience. Company is not looking to sponsor applicants for work visas.The above content is not meant for interest and or distribution by any recruiters or employment agencies

Keywords: Agile Fund Solutions, LLC, San Francisco , Senior Compliance Associate, Other , San Francisco, California

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