Compliance Analyst/Associate

A leading global investment management firm is seeking a Compliance Analyst / Associate to support its U.S. Compliance team in Northern California.

This opportunity is ideal for an early-career compliance professional with approximately 1-2 years of experience who is looking to broaden their exposure within investment management. Previous buy-side asset management experience is preferred but not required, and candidates with compliance experience from other industries are encouraged to apply.

The position will initially be a 3-month contract, with the potential for extension and/or conversion to a permanent role.

Key Responsibilities

• StarCompliance / Code of Ethics: Manage employee-level compliance matters through StarCompliance, including annual and quarterly certifications, Outside Business Activities, political contributions, Gifts & Entertainment requests, personal trading and holdings requests, and account connection issues.
• Compliance Policies & Procedures: Support annual and ad hoc updates to the firm’s Compliance Manual, policies, and procedures, including communicating changes to key stakeholders and maintaining internal compliance resources.
• Expert Network Reviews: Review and manage investment team requests involving expert network calls and transcripts across platforms including GLG, AlphaSights, Capvision, AlphaSense, Slingshot, Six Degrees, and Tegus.
• Compliance Testing & Monitoring: Manage and document assigned tasks across annual, quarterly, and monthly compliance testing and monitoring programs, including assisting with portions of the Annual Compliance Review report.
• Regulatory Filings: Support data collection, drafting, and review related to Form ADV and Form PF.
• Electronic Communications Monitoring: Review AI-generated risk alerts and conduct ad hoc electronic communications reviews using Behavox.
• Partner with compliance colleagues, investment professionals, and other internal stakeholders to address ongoing compliance requests and regulatory responsibilities.

Qualifications

• Approximately 1-2 years of professional compliance experience. Experience may come from financial services or another regulated industry.
• Prior experience within buy-side asset management, investment management, private equity, venture capital, or financial services is preferred but not required.
• Interest in developing deeper experience within investment management and financial services compliance.
• Strong attention to detail and organizational skills.
• Ability to manage multiple responsibilities, deadlines, and compliance-related requests.
• Strong written and verbal communication skills.
• Ability to work effectively with investment professionals and cross-functional stakeholders.
• Experience with StarCompliance, Code of Ethics administration, personal trading, Restricted List monitoring, expert network reviews, Form ADV, Form PF, or electronic communications monitoring is a plus.

Why This Opportunity

This is a strong opportunity for an early-career compliance professional looking to gain hands-on exposure across investment management, private equity, and venture capital compliance while working with a global investment organization.

Candidates coming from another area of compliance who are interested in transitioning into the investment management space are also encouraged to apply.

The SR Group (US), Inc. is acting as an Employment Agency in relation to this vacancy.

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