Compliance Administrator – San Francisco, CA

Position Summary:

The Compliance Administrator will work for the Chief Compliance Officer of Stockbridge Capital Group, LLC and its affiliate Core and Value Advisors, LLC, each of which are Registered Investment Advisors with the Securities and Exchange Commission (the “SEC”). The Compliance Administrator oversees and manages the corporate Compliance Program, and reviews and evaluates compliance issues within the organization. The Compliance Administrator ensures that the management of the firm and employees act in compliance with the rules and regulations of the firm and regulatory agencies. They also work to ensure that firm’s policies and procedures are being followed, and that behavior in the organization meets the minimum standards of conduct. The Compliance Administrator develops, initiates, maintains, and revises policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal or improper conduct, and to ensure best practices are adopted.

 

Primary Duties and Responsibilities:
Compliance:

  • Assists the Chief Compliance Officer to design and implement administrative processes and procedures to effectively adhere to firm policy.
  • Analyze all compliance requirements for various procedures and provide necessary training if required and design strategies to achieve all objectives.
  • Train employees on compliance guidelines, requirements and standards. Answer questions regarding regulations to help employees better understand them. Onboard new employees, provide training regarding compliance-related deliverables.
  • Maintain knowledge on compliance matters applicable to the RIA environment.
  • Manage the firm’s compliance calendar, ensuring all deadlines are met.
  • Administer certain internal audit processes/testing. Collect and coordinate internal compliance data with other departments. Compile and analyze both internal and external information to prepare compliance audit data.
  • Administer the Code of Ethics, including the monitoring of personal security transactions, outside business activities, gifts and entertainment, political donations and confidentiality requirements.
  • Manage the Compliance System, sets and up train users, collect attestations and questionnaires.
  • Maintenance of the Approved Vendor and Property Manager List. Lead the initial and annual screening and review of vendors.
  • Know-Your-Client and AML reviews – working in-house or with legal to screen new investors and current investors periodically. Respond to KYC requests of the firm.
  • Answer questions and respond to internal and external requests (RFPs, investor questionnaires).
  • Assist in the preparation and review of written materials including the Form ADV, training materials, policy documents and minutes of meetings.
  • Explore new, innovative opportunities to add value to your job and the job of everyone in the firm. Enhance the Compliance Department and the firm’s reputation by accepting ownership for accomplishing new and different requests; exploring opportunities to add value.

Skills & Competencies:

  • All candidates must have a Bachelor’s Degree from an accredited institution, ideally in Accounting, Business or related field.
  • An ideal candidate would have three years’ experience in a compliance department in a SEC registered company.
  • Computer proficiency with a working knowledge of Microsoft Excel and Word.
  • Strong writing skills as well as verbal interpersonal/communication skills as this position requires continuous interaction with company executives.
  • Organizational skills and attention to detail, with the ability to prioritize and manage multiple projects simultaneously.
  • Ability to function both in a team-oriented setting and independently. Ability to foster strong relationships.
  • Strong sense of personal motivation, responsibility, and entrepreneurship. Flexible.
  • Strong decision-making and problem-solving skills.
  • Understanding of risk assessment and mitigation.
  • Trustworthy and sensitive with respect to handling of confidential information.
TOP