Senior Compliance Officer

Menlo Park, CA

Job Reference #1846

Our client, a prestigious investment management firm with more than $20b AUM, is seeking a hardworking and motivated senior compliance professional to join their team. Long term this hire will track to take over the CCO position.   

Key Points

  • Opportunity to learn under a talented GC/CCO with the long term plan to grow into the CCO seat
  • Candidate will have ownership of running and updating the compliance program start to finish
  • Firm has been around for over 15 years and has an incredibly sticky investor base
  • The company offers a strong quality of life (normally 9-5:30pm), with limited nights and weekends 
  • Firm has a flat structure, offering every employee the opportunity to have a voice

Responsibilities

  • Oversee and maintain the firm’s code of ethics
  • Conduct annual filings including Form ADV and Form PF
  • Review all marketing materials to ensure compliance with SEC rules and regulations in the US and internationally
  • Collaborate to oversee the cybersecurity program alongside IT
  • Supervise new hire and periodic employee compliance trainings firm wide
  • Remain current on industry rules and regulatory requirements and adjust the compliance program as necessary

Qualifications

  • Bachelor’s degree and at least 7 years of relevant compliance experience
  • Thorough knowledge and understanding of industry rules and requirements
  • Significant experience SEC rules and regulations
  • Ability and willingness to communicate and work as part of a diverse team
  • Strong, proactive, hands-on work ethic and ability to work in a demanding environment

Compensation: $250k – $450k all in (will depend on experience)