Fernridge Group · 18 hours ago
Senior Compliance Associate
San Francisco Bay Area
Full-time
Hybrid
Mid, Senior Level
$120K/yr - $175K/yr
2+ years expFernridge Group is a $3.5B+ private equity firm seeking a Compliance Senior Analyst/Manager to enhance its compliance program. The successful candidate will manage daily compliance operations and work closely with senior leadership to ensure regulatory adherence.
Hiring Manager
Kim Autuori
Responsibilities
Manage reporting software, set up certifications, review brokerage connections, monitor filings (e.g., pre-clearances, Code of Ethics), and oversee managed account processes
Review, approve, and chaperone calls to ensure compliance
Draft compliance memos, committee minutes, and maintain compliance logs
Manage assessments and review vendor submissions
Maintain ongoing tasks, including Code of Ethics, AML, and forensic testing
Assist in annual compliance review and broader program testing
Manage compliance and cybersecurity vendors
Draft Form ADV, Form PF, and Form 13F filings
Support updates to compliance manuals, Codes of Ethics, Cybersecurity, and BCP policies
Draft responses to operational due diligence and investor inquiries
Assist with workflows in Red Oak software
Qualification
Required
2–5 years of SEC RIA compliance experience, ideally at a regulated investment firm
Bachelor's degree required
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
Preferred
Bachelor's degree (Finance or Business preferred)
Experience with compliance tools such as ComplySci, Smarsh, Red Oak, and MirrorWeb
Company
Fernridge Group
At Fernridge Group, we're passionate about fueling success in the dynamic world of alternative asset management.
2-10 employees
Funding
Current Stage
Early StageCompany data provided by crunchbase