Compliance Analyst San Francisco
Greyline is a regulatory consulting firm headquartered in San Francisco, CA. The Firm’s clients are primarily registered investment advisers including traditional advisers, mutual fund managers, private equity firms, hedge funds, and venture capital firms. Join our team and together we'll power the sound decisions that enhance value - yours and ours.
Work Location: San Francisco
Provide day-to-day support in the development, implementation and maintenance of compliance programs for a variety of registered investment advisers, including but not limited to:
- Development and implementation of compliance policies and procedures - ensure compliance policies and procedures are effectively communicated to client, in accordance with the Firm’s regulatory requirements;
- Conduct annual compliance reviews;
- Prepare and deliver compliance training;
- Prepare and submit annual and quarterly regulatory filings;
- Monitor employee personal trading and electronic communications;
- Prepare and maintain employee disclosure forms and assist client in organization and maintenance required books and records;
- Continuously monitor relevant regulatory changes and assist clients in developing internal controls, accordingly.
- Register clients as investment advisers with the appropriate regulatory bodies;
- Assist in conducting mock regulatory exams;
- Assist in providing SEC exam support;
- Proactively provide practical, business friendly solutions for esoteric regulatory issues.
- Undergraduate degree required
- 0-2 years of compliance related experience; Knowledge of the Commodity Exchange Act (CEA) and the rules of the National Futures Association is a plus
- Excellent written and verbal communication skills;
- Thorough understanding of, and experience with, compliance program development and maintenance;
- Strong, independent self –starter, as well as collaborative problem solver;
- Strong research skills;
- Ability to multi-task across a range of projects with constantly shifting priorities;
- Audit firm experience is also a plus.