Legal & Compliance Associate

Growing SF based private equity firm is looking to add a junior legal/compliance team member!

1-5yrs experience.

Own day-to-day execution of RIA compliance calendar — including annual reviews and testing — keeping the firm in good standing while driving down external spend through automation.

• Complete 100% of annual compliance calendar items (filings, attestations, annual reviews, testing) on time with zero missed deadlines.
• Reduce compliance consultant spend on the annual review and testing program within 18 months by automating workflows previously requiring outside support.
• Maintain zero material compliance deficiencies.

Automation & Workflow Development

Design and deploy AI-powered workflows for NDA obligation tracking, side letter management, and other high-volume Legal & Compliance processes.

• Build and go live on a fully operational NDA obligation tracking system within six months of start.
• Build and go live on a side letter tracking and alerting workflow within nine months of start.
• Document all automation tools in a shared playbook so the team can operate them independently.
• Identify and propose additional automation opportunities within the first 12 months, prioritized by time savings.

ESG Program Support

Compress ESG monitoring and reporting cycle from two quarters to one by redesigning data collection and reporting workflows through automation.

• Reduce the ESG monitoring and reporting cycle from approximately two quarters to one by the end of the first full ESG cycle.
• Complete annual ESG data collection and report-out from all portfolio companies on the compressed timeline with no reduction in data quality or completeness.
• Deliver two to three ESG consulting engagements to portfolio companies per year, with documented action items and follow-through.

Legal & Transactional Support

Handle high-volume NDA, vendor agreement, and AML workload with speed and accuracy, and scale to support anticipated 2027 fundraise without dropping the ball on day-to-day.

• Process all inbound NDAs and vendor agreements with a fast turnaround time at zero material error rate.
• Maintain AML program documentation with no gaps or late filings.
• Support fundraise legal workload — including LP document management, side letter processing, and related filings — meeting all deadlines set by the deal and investor relations teams.

Qualifications

• J.D. or other advanced degree; or equivalent experience working in a legal or compliance function without an advanced degree.
• Prior experience with RIA compliance programs (ADV, Code of Ethics, annual reviews, surveillance, testing) strongly preferred.
• Demonstrated ability to build or deploy AI tools and automation to reduce manual effort in a professional setting.
• Experience managing multiple concurrent workstreams with minimal supervision and a clean record on deadlines and quality.
• Strong written communication skills — able to synthesize complex legal and compliance topics into clear, actionable language for a non-legal audience.
• Familiarity with ESG data collection, reporting, or monitoring is a plus.

Competencies

AI-First Operator

Applies AI tools and automation instinctively to eliminate repetitive work and create leverage across the Legal & Compliance function. Independently deploys tools for contract review, document drafting, and workflow automation. Identifies automation opportunities quickly and builds processes teammates continue to use independently.

Execution Excellence

Delivers high-quality work product consistently and on time across multiple concurrent workstreams with minimal supervision. Proactively flags risks before they become problems. Produces clean, accurate work on the first pass and maintains organized, auditable documentation.

Compliance Acumen

Understands the mechanics of a registered investment adviser compliance program and applies that knowledge to keep the firm in good standing. Translates regulatory requirements into practical, operational steps. Stays current on relevant SEC guidance and flags changes with recommended action items.

Clear Communicator

Synthesizes complex legal and compliance topics into clear, actionable language for a non-legal audience. Drafts internal policies, memos, and guidance documents that are adopted without significant revision. Comfortable presenting findings and recommendations to senior stakeholders.