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Compliance

Regulatory Filings Specialist

San Francisco, CA

About the Role

Global Advisers is seeking a Regulatory Filings Specialist in San Francisco, CA to manage recurring investment-adviser registrations, notice filings, amendments, licenses, and related regulatory records across the firm's jurisdictions. The role is designed for professionals who can exercise sound judgment, work collaboratively, and maintain high standards of accuracy, client service, and professional conduct.

Responsibilities

  • Prepare and coordinate Form ADV and Form CRS amendments and annual updates.
  • Manage state investment-adviser registrations, notice filings, renewals, and withdrawal requirements.
  • Track individual licensing and registration obligations applicable to advisory personnel.
  • Maintain supporting records, calendars, and filing evidence.
  • Monitor regulatory changes affecting registration and filing requirements.
  • Coordinate with finance, legal, insurance, and business teams to obtain accurate filing information.

Qualifications

  • Bachelor's degree or equivalent professional experience.
  • Three or more years of regulatory filings, RIA compliance, licensing, securities administration, or related experience.
  • Strong working knowledge of IARD and state investment-adviser filing processes.
  • Exceptional accuracy and deadline management.
  • Ability to work with confidential corporate and personnel information.

Preferred Qualifications

  • Experience with Form ADV, Form CRS, IARD, insurance licensing, or multi-state registration.
  • Paralegal or compliance credential.

Skills for This Role

Regulatory Filings, Licensing & Registration, Form ADV, Form CRS, SEC & State RIA Regulations, Record Retention, Regulatory Change Management

How We Evaluate Candidates

Global Advisers operates as a meritocracy. We evaluate candidates against the requirements of the role, demonstrated capability, judgment, initiative, professionalism, and the quality of their work.

Employment Notices

Equal Employment Opportunity

Global Advisers provides equal employment opportunity to qualified applicants and employees without regard to race, color, religion, sex, pregnancy, sexual orientation, gender identity or expression, national origin, age, disability, genetic information, military or veteran status, or any other characteristic protected by applicable federal, state, or local law. Employment decisions are based on merit, qualifications, performance, and legitimate business needs. Global Advisers does not tolerate unlawful discrimination, harassment, or retaliation.

Reasonable Accommodation

Global Advisers is committed to providing reasonable accommodation to qualified applicants with disabilities during the recruiting and application process. If you need an accommodation to apply for a role, contact careers@globaladvisers.com. Requests for accommodation are considered in accordance with applicable law.

Employment Information

Role requirements, compensation, benefits, work arrangements, licensing requirements, and employment eligibility are position-specific and subject to applicable law. Any background, credential, or licensing review is conducted only as appropriate for the role and in accordance with applicable federal, state, and local requirements.