Compliance Officers

Found in: Jooble US O C2 - 2 weeks ago


Menlo Park CA, United States Larson Maddox Full time

A Menlo Park Based Hedge Fund is seeking a Compliance Analyst with experience working for a registered investment adviser to join our compliance team.
This role will report to the General Counsel / Chief Compliance Officer (GC/CCO).

Develop and maintain an in-depth understanding of the business areas, its products and supporting functions
Administer Code of Ethics program (personal trading, gifts and outside business entertainment, political contributions).
Prepare regulatory filings (Form ADV, Form PF, Reg D/state blue sky filings, etc.)
Assist with Compliance training programs
Test the Compliance program
Review new rules and regulations and implement processes and controls in accordance with those rules by the compliance date
Advisers Act and/or Investment Company Act, which could include public accounting, due diligence, internal audit or similar roles in the financial services industry

Bachelor's degree, legal/compliance, finance and accounting background a plus
~ 1-3 years of relevant work experience and familiarity with Advisers Act


Structure: 5 days in office
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