Atlantic Group
Senior Analyst (Legal and Compliance)
Atlantic Group, San Francisco, California, United States, 94199
Job Overview - Senior Analyst (Legal and Compliance):We're seeking a Senior Compliance Analyst to manage and enhance the compliance program for a growing investment advisory firm. This hybrid role focuses on regulatory compliance, overseeing filings, and ensuring adherence to industry standards for a diverse portfolio of clients, including private funds and institutional investors.Total Compensation: $130,000 - $140,000/yearLocation: San Francisco, CASchedule: Monday to Friday (Hybrid)Responsibilities for the Senior Analyst (Legal and Compliance):
Regulatory Filings:
Assist in preparing and submitting various regulatory filings, including Form ADV, Form PF, Forms 13G, 13H, 13F, Treasury Filings, and CFTC filings.Policy Implementation:
Support the development and implementation of compliance policies and procedures in response to new business practices or regulatory changes.Code of Ethics Administration:
Manage the firm’s Code of Ethics, including trade approvals, transaction reporting, and annual attestations.Training & Onboarding:
Conduct compliance training for new hires and assist with their onboarding process.Compliance Testing:
Review and test compliance procedures and controls, ensuring adherence to regulatory standards.Risk Assessment:
Assist in preparing and completing the annual compliance risk assessment and review.Qualifications for the Senior Analyst (Legal and Compliance):
Education:
Bachelor's degree in Finance, Law, Business, or a related field is required.Experience:
2-5 years in Investment Advisor compliance, preferably with experience in Hedge Funds, Private Equity, or Asset Management.Knowledge:
In-depth understanding of the Investment Advisers Act of 1940 and related rules and regulations, with broad knowledge of compliance programs.Technical Skills:
Proficient in technology and capable of resolving technical issues as they arise.Application Notice:
Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.
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Regulatory Filings:
Assist in preparing and submitting various regulatory filings, including Form ADV, Form PF, Forms 13G, 13H, 13F, Treasury Filings, and CFTC filings.Policy Implementation:
Support the development and implementation of compliance policies and procedures in response to new business practices or regulatory changes.Code of Ethics Administration:
Manage the firm’s Code of Ethics, including trade approvals, transaction reporting, and annual attestations.Training & Onboarding:
Conduct compliance training for new hires and assist with their onboarding process.Compliance Testing:
Review and test compliance procedures and controls, ensuring adherence to regulatory standards.Risk Assessment:
Assist in preparing and completing the annual compliance risk assessment and review.Qualifications for the Senior Analyst (Legal and Compliance):
Education:
Bachelor's degree in Finance, Law, Business, or a related field is required.Experience:
2-5 years in Investment Advisor compliance, preferably with experience in Hedge Funds, Private Equity, or Asset Management.Knowledge:
In-depth understanding of the Investment Advisers Act of 1940 and related rules and regulations, with broad knowledge of compliance programs.Technical Skills:
Proficient in technology and capable of resolving technical issues as they arise.Application Notice:
Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.
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