Compliance Associate

JFG Family Office is a private family office that provides comprehensive wealth management and integrated support to high-net-worth individuals and families. The firm’s work is centered on long‑term stewardship, disciplined execution, and highly coordinated service across investment, planning, and broader family office needs. JFG is built around a collaborative team model designed to create strong alignment, thoughtful service, and lasting value for the families we serve. JFG Family Office is an independently owned, registered investment advisory firm headquartered in Denver, with offices in Dallas and Washington, D.C. We seek professionals who are thoughtful, disciplined, collaborative, and committed to excellence. We value individuals who exercise sound judgment, take ownership of their work, communicate clearly, and are motivated by the opportunity to contribute to a high‑performing team serving the complex needs of our clients. This is an opportunity to join a growing compliance team and contribute to the continued development of a thoughtful, scalable, high‑quality compliance program. The ideal candidate will have prior experience in SEC‑regulated investment management, private investments, family office, or similar financial services environment, along with a working knowledge of SEC rules and regulations applicable to investment advisers. PRIMARY DUTIES AND RESPONSIBILITIES Support compliance with SEC rules and regulations applicable to investment advisers, including matters relating to: Investment Advisers Act of 1940 Form ADV and related disclosures Code of Ethics and personal securities trading Marketing Rule requirements Custody Rule considerations Privacy and information security obligations Books and records requirements Compliance testing and annual review requirements Work with the compliance team to support the administration and maintenance of the firm’s compliance program, including policies and procedures, testing, monitoring, certifications, attestations, logs, vendor due diligence and related documentation. Assist with maintenance of regulatory filings, client disclosures, internal policies, and related records, including Form ADV, Form CRS, and other required filings. Review marketing materials and related communications for compliance with applicable policies and regulatory requirements. Review electronic communications, including email, Teams messages, text messages, and social media, in accordance with firm policies and applicable regulatory requirements. Assist with employee compliance processes, including onboarding compliance training, certifications, personal securities trading reporting, outside business activity disclosures, gifts and entertainment reporting, and political contribution reviews. Help identify, document, elevate, and remediate potential compliance issues, exceptions, or control gaps. Conduct or assist with periodic compliance testing and monitoring activities. Assist in preparing materials for internal compliance reviews, annual compliance program reviews, regulatory examinations, and other compliance‑related initiatives. Support vendor, cybersecurity, privacy, business continuity, and operational risk‑related compliance processes as needed. Partner with investment, advisory, operations, and administrative teams to support compliance‑related workflows. Contribute to the continued improvement and scalability of compliance processes, workflows, documentation practices, and internal controls. * This job description does not include a complete listing of all the duties and functions of the position. Management reserves the right to assign other duties or projects as necessary. POSITION REQUIREMENTS Prior compliance experience in SEC‑regulated investment management, family office, private investments, compliance consulting, or similar financial services environment. Working knowledge of SEC rules and regulations applicable to investment advisers, including the Investment Advisers Act of 1940, Form ADV, Code of Ethics, books and records requirements, Marketing Rule, Custody Rule considerations, privacy obligations, and compliance testing requirements. Experience supporting compliance policies and procedures, testing, monitoring, documentation, certifications, and regulatory recordkeeping. Strong attention to detail and excellent organizational skills. Ability to manage recurring compliance tasks and deadlines with accuracy and limited oversight. Strong written and verbal communication skills. Sound judgment, discretion, and professionalism, particularly when handling sensitive employee, client, firm, and regulatory information. Ability to work collaboratively across departments while maintaining appropriate independence and escalation discipline. Proficiency with Microsoft Office applications, particularly Word, Excel, Outlook, and Teams. Bachelor’s degree in business, finance, accounting, legal studies, economics, or a related field preferred. Experience with compliance technology platforms, portfolio/accounting systems, CRM systems, or employee certification tools preferred. COMPENSATION Base salary range: $80,000 - $120,000 annually APPLICATION DEADLINE July 14, 2026 EMPLOYEE BENEFITS OFFERINGS Competitive compensation, including bonus opportunities Deferred compensation and employee investment opportunities, subject to eligibility Company paid medical and wellness benefits A comprehensive selection of medical, dental, and vision health plans 401(k) plan with employer match Flexible time off Paid parking Professional development and continuing education support Hybrid or flexible work arrangements, depending on role and business needs Opportunity for career growth and advancement Employee recognition programs Cultural and team-building events Benefits are subject to eligibility requirements, plan documents, and company policies, and may be modified from time to time. #J-18808-Ljbffr