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Jordan Park Group

Vice President, Legal & Compliance

Legal & Compliance · San Francisco, California
Department Legal & Compliance
Employment Type Full-Time
Minimum Experience Experienced

                                                     Vice President, Legal and Compliance - San Francisco

Jordan Park is a privately-held SEC-registered investment adviser that provides investment management and financial advice to a targeted community of individuals, families and institutions. Our mission is to enhance the lives and legacies of our clients, who are making extraordinary contributions to business, philanthropy, government and society. We deliver customized and comprehensive solutions and manage client assets primarily on a discretionary basis through separate accounts and private funds. 

Jordan Park is looking for an exceptional new member of the Legal and Compliance team to support the growth of our firm based in San Francisco. This is an opportunity for a mid- to senior-level compliance professional to fill a new role and work at a firm that is united by a passion for service, strong sense of integrity and entrepreneurial spirit, and desire to have a positive impact in the world. We are empathetic problem solvers and subject matter experts, committed to serving clients at the highest level of trust and partnership. Our hallmarks of responsiveness, availability, dependability, and competency are our highest priorities.

About the Role

This person will be a key member of the Legal and Compliance team and will report to the General Counsel and Chief Compliance Officer. This role is broad and will involve significant day-to-day responsibility for implementing and administering the adviser’s regulatory compliance program.

Responsibilities

• Develop, prepare, update and enforce Jordan Park’s compliance policies and procedures

• Conduct regular testing and audits of policies and procedures

• Administer compliance with the firm’s code of ethics, including personal trading, gifts and entertainment, and other matters

• Assist with the preparation of regulatory filings such as Forms ADV, PF, 13F, 13G, and 13H

• Liaise with and supervise external service providers, including compliance consultant and other vendors

• Review advertising and marketing materials to comply with SEC rules and regulations in domestic and international jurisdictions

• Assist with annual custody audit and any other regulatory audits

• Conduct initial compliance training for new employees, and administer periodic cybersecurity, data protection and other online trainings for existing employees

• Coordinate new vendor due diligence and annual vendor reviews in coordination with the IT department

• Research and monitor regulatory developments, including SEC rules and guidance and other requirements applicable to registered investment advisers and private funds

• Analyze and draft internal memos and firm-wide communications

• Manage compliance reports and annual review

• Create and maintain databases and compliance records

Qualifications

• Minimum of a bachelor’s degree; JD is a plus

• Seven to ten years of experience in a compliance or legal role in financial services, preferably with the SEC, registered investment advisor or law firm

• General knowledge of securities laws and Investment Adviser’s Act of 1940

• High level of knowledge and/or experience with systems such as project management, work-flow or other automation and tracking tools

• Excellent written and oral communication and thinking skills

• Superior attention to detail and extremely organized

• Demonstrated enthusiasm and desire to work as a team player

• Highest levels of integrity, ethics and confidentiality

• Ability to meet strict deadlines, multi-task and work in fast-paced environment

Jordan Park is always seeking great talent.  We are proud to be an equal opportunity employer, and we consider qualified applicants without regard to race, color, religion, sex, national origin, ancestry, age, genetic information, sexual orientation, gender identity, marital or family status, veteran status, medical condition or disability.  We comply with the San Francisco Fair Chance Ordinance and will consider for employment qualified applicants with arrest and conviction records.  

Jordan Park is an SEC-registered investment adviser (RIA).

Thank you for choosing to pursue a career with us.  

Thank You

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  • Location
    San Francisco, California
  • Department
    Legal & Compliance
  • Employment Type
    Full-Time
  • Minimum Experience
    Experienced