Job Description

This range is provided by Taylor Root. Your actual pay will be based on your skills and experience talk with your recruiter to learn more.

Base pay range

$200,000.00/yr - $240,000.00/yr

Additional compensation types

Annual Bonus

Direct message the job poster from Taylor Root

Senior Compliance Officer Alternative Asset Manager (San Francisco Bay Area)

A well-established and growing alternative asset manager with over $10B AUM is seeking a Senior Compliance Officer to join their team. This newly created role offers the opportunity to work closely with the General Counsel/Chief Compliance Officer and lead key compliance initiatives across U.S. and international operations.

Highlights:

• First fully dedicated compliance hire at a collaborative, high-growth firm.
• High visibility across teams and leadership.
• Hybrid schedule (4 days in-office) with strong work/life balance and competitive compensation.

Key Responsibilities:

• Conduct compliance reviews (e.g., personal trading, investment restrictions, vendor management, social media, political contributions).
• Develop and implement compliance policies, procedures, and testing protocols.
• Prepare regulatory filings (ADV, Form 13F, Form PF).
• Review and update marketing materials and support investor relations on compliance matters.
• Support IR on all compliance matters relating to Client/LP inquiries
• Oversee gift and entertainment reviews and monitor employee trading activity.
• Handle special projects and support broader compliance initiatives.

Qualifications:

• Minimum 5 years of compliance experience in alternative asset management.
• Bachelors degree required; JD is a strong plus.
• Strong attention to detail, interpersonal skills, and ability to mentor junior team members.

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Legal

• Industries

  Investment Management

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Inferred from the description for this job

Pension plan

401(k)

Medical insurance

Vision insurance

Paid paternity leave

Paid maternity leave

Disability insurance

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