Opportunities

 

Investment Firm

Compliance Officer, Menlo Park, CA

Compliance Officer (Menlo Park, CA): Our client, a successful investment firm is looking to bring on a bright and experienced compliance professional to join their team.  This person will be reporting to the General Counsel/Chief Compliance Officer, assisting the team in a variety general and regulatory compliance duties. This is an exciting opportunity to join a firm that is well established and still growing.
 

Key Points:

  • Opportunity to join one of the most prestigious investment firms in the world
  • Position will offer exposure to all areas as it relates to the firm’s compliance program
  • Firm is incredibly stable 
  • Team is family oriented and focused on having a life outside of work

Responsibilities:

  • Develop, maintain, and improve the firm’s compliance program, including compliance policy updates and implementation
  • Review and approve marketing presentations and responses to investor requests
  • Stay abreast with and implement the SEC’s new advertising rules
  • Manage and review proxy voting requests and regulatory filings (Forms ADV, PF, S, SLT, 13G, and 13F)
  • Monitor progress of annual compliance testing, working with outside compliance consultants
  • Assist with compliance questions related to investments as needed 
  • Stay informed on and analyze the impact of change to relevant regulatory changes 

Qualifications:

  • At least 6 years of relevant compliance experience at a leading asset manager, law firm, compliance consultancy and/or regulatory agency; J.D. is a bonus, but not required
  • Substantial experience applying SEC and FINRA marketing rules and reviewing regulatory filings
  • Working knowledge of U.S. laws applicable to SEC registered investment advisers, including insider trading law, fiduciary duty concepts, anti-corruption law, and know-your-customer rules
  • Ability to prioritize and execute a wide range of projects and initiatives; proactively anticipates obstacles and seeks solutions
  • Excellent and transparent written and verbal communication skills; this person should seek context and dive deep on relevant topics/questions
  • Eager to become the internal expert on multiple jurisdictions and a wide range of compliance requirements for the firm

Job Reference #1714

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