Senior Compliance Associate Job at Fernridge Group, Santa Rosa, CA

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  • Fernridge Group
  • Santa Rosa, CA

Job Description

Title: Compliance Senior Analyst / Manager

Firm: $3.5B + PE firm

Location: San Francisco, CA OR Austin, TX

Remote Work Policy:

  • 2 days/week in office

Role Overview:

The firm is seeking a Compliance Sr. Analyst / Manager to join its compliance team. This role will report to the Deputy Chief Compliance Officer and work closely with the CCO/CFO. The successful candidate will play a key role in managing the day-to-day operations of the compliance program and enhancing the firm’s regulatory infrastructure.

Key Responsibilities:

  • Compliance Systems (ComplySci): Manage reporting software, set up certifications, review brokerage connections, monitor filings (e.g., pre-clearances, Code of Ethics), and oversee managed account processes
  • Expert Networks: Review, approve, and chaperone calls to ensure compliance
  • Documentation: Draft compliance memos, committee minutes, and maintain compliance logs
  • Vendor Due Diligence: Manage assessments and review vendor submissions
  • Compliance Calendar: Maintain ongoing tasks, including Code of Ethics, AML, and forensic testing
  • Testing & Reviews: Assist in annual compliance review and broader program testing
  • Third-Party Oversight: Manage compliance and cybersecurity vendors
  • Regulatory Filings: Draft Form ADV, Form PF, and Form 13F filings
  • Policy Updates: Support updates to compliance manuals, Codes of Ethics, Cybersecurity, and BCP policies
  • Investor Requests: Draft responses to operational due diligence and investor inquiries
  • Marketing Review: Assist with workflows in Red Oak software

Qualifications:

  • 2–5 years of SEC RIA compliance experience, ideally at a regulated investment firm
  • Bachelor’s degree required (Finance or Business preferred)
  • Experience with compliance tools such as ComplySci, Smarsh, Red Oak, and MirrorWeb
  • Highly organized, detail-oriented, with strong analytical and problem-solving skills
  • Excellent verbal and written communication skills
  • Self-motivated, proactive, and capable of handling multiple projects with tight deadlines
  • Team player with a collaborative mindset and professional presence

Job Tags

Work at office, Remote work, 2 days per week

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