SF based venture capital firm is seeking a mid level Compliance Officer to join their growing team!
Overall Position Responsibilities
Enhance and review the firms existing compliance program, including updating current firm policies and procedures and
ensuring adherence to current regulatory requirements
Promote and maintain a strong culture of compliance, including ongoing education for firm personnel
Assist in the preparation of required regulatory filings, including Form ADV, Form PF and other SEC and state filings, as
applicable
Document and maintain various trackers and approval logs related to policies and procedures
Review and approve the firms marketing materials
Partner closely with our compliance consultant on annual, quarterly, and monthly reviews, including executing testing, and
ensuring the firm maintains an effective and well-documented compliance program
Administer the firms Compliance Manual, including personal securities trading reviews, outside business activity approvals, gift
& entertainment monitoring and political contribution tracking
Review investor communications, including LP updates, reporting and data room materials to ensure consistency with
regulatory standards and fund documents
Ensure cybersecurity and IT policies align with current best practices
Work with various external vendors
Ensure proper review and annual renewal of all insurance (D&O, property, general liability, workers comp., etc.)
Work with real estate brokers to negotiate lease, as required
Other duties as assigned
Requirements
At least 3 years of experience in compliance consultant industry with exposure to alternative investment firms and increasing
responsibilities
Ability to work on a hybrid schedule, with attendance required on designated in-office days at our SF or LV office and occasional
travel
Excellent communication, problem solving and interpersonal skills
General understanding of venture capital firms
Very detail oriented and proactive
Strong ability to multi-task and juggle priorities
Very comfortable working independently and alone
Demonstrated flexibility and creative, entrepreneurial attitude
Curiosity for constant learning and process improvement/optimization
University degree or equivalent experience
JD a plus, but not required
SEC regulatory experience a plus, but not required