Compliance Officers
Found in: Jooble US O C2 - 1 week ago
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 #J-18808-Ljbffr
-
Compliance Officer
Found in: Jooble US O C2 - 4 days ago
San Francisco, CA, United States Cardless, Inc Full timeAt Cardless, we’re building a credit card and loyalty platform that consumer businesses use to engage their customers. We’ve launched 9 credit cards, including for the largest mall operator in the U.S. and the largest airline in South America . We help businesses bring imaginative card programs to life, and have pioneered technology to embed credit...
-
Head of Compliance
Found in: Jooble US O C2 - 2 weeks ago
San Francisco, CA, United States Knewin Full timeAt Cardless, we’re building a credit card and loyalty platform that consumer businesses use to engage their customers. We’ve launched 9 credit cards, including for the largest mall operator in the U.S. and the largest airline in South America . We help businesses bring imaginative card programs to life, and have pioneered technology to embed credit...
-
Compliance Officer
2 weeks ago
San Jose, United States Linqto Full timeJob DescriptionJob DescriptionDescription:About Linqto:Linqto is a technology-enabled investment platform allowing accredited investors to identify, evaluate, invest in, and trade securities in the world’s leading unicorns and other private companies. Linqto also provides liquidity for private securities markets. Founders, VCs, and employees can realize...
-
Legal and Compliance Officer
Found in: beBee S US - 3 weeks ago
San Francisco, United States Prelim Full timeAbout Prelim Prelim is a fast-growing, San Francisco based startup with team members working remotely throughout the country that's transforming how banks onboard customers. If you're excited to shape the future of banking, we encourage you to apply. We seek driven, ambitious people excited to make an impact through innovation. Why we're looking for you With...
-
Director of Compliance
Found in: Jooble US O C2 - 1 week ago
San Francisco, CA, United States Bayview Hunters Point Foundation Full timeJob Description Job Description Description: Bayview Hunters Point Foundation: Who We Are: Bayview Hunters Point Foundation has been at the heart of social justice for over 50 years, providing support services for predominantly low-income people of color in the Bayview and throughout San Francisco. Our mission is to build a community that is empowered,...
-
Compliance Officers
Found in: Jooble US O C2 - 2 days ago
Newport Beach, CA, United States INSPYR Solutions Full timeTitle: Compliance Analyst (Rule Automation) Duration: 6+ month contract This is a challenging and exciting opportunity to work within the Legal & Compliance department, supporting our clients proprietary compliance system. The Rule Automation Team is responsible for accurately coding and automating client, regulatory, and internal guidelines within the...
-
Head of Compliance/Deputy CCO
Found in: Jooble US O C2 - 4 days ago
San Francisco, CA, United States Jw Michaels & Co. Full timeSEC registered investment adviser searching for an experienced Senior Compliance Officer. Position will work with/report to the CCO as part of a three person team. Partner with investment professionals at all levels and attend investment related meetings to provide regulatory guidance. o This includes guidance related to the firms policies of allocation...
-
Legal/Compliance Analyst
2 days ago
San Francisco, United States Larson Maddox Full timeA Hedge Fund is seeking a Legal/Compliance Analyst with experience working for a registered investment adviser. This role will report to the General Counsel / Chief Compliance Officer (GC/CCO). Essential Duties and Responsibilities: Maintain and organize internal compliance books and records. Retain distribution records of client documents evidencing...
-
Legal/Compliance Analyst
2 days ago
San Francisco, United States Larson Maddox Full timeA Hedge Fund is seeking a Legal/Compliance Analyst with experience working for a registered investment adviser. This role will report to the General Counsel / Chief Compliance Officer (GC/CCO). Essential Duties and Responsibilities: Maintain and organize internal compliance books and records. Retain distribution records of client documents evidencing...
-
Compliance Engineer
1 week ago
San Francisco, United States OpenAI Full timeAbout the Team Governance, Risk, and Compliance (GRC) is at the foundation of OpenAI's mission to ensure that artificial general intelligence benefits all of humanity. The GRC team provides security assurances and builds compliance for OpenAI's technology, people, and products. We are technical in what we build but are operational in how we do our work, and...
-
Compliance Analyst
1 week ago
San Francisco, United States Larson Maddox Full timeA 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).The Analyst Will Be Responsible ForDevelop and maintain an in-depth understanding of the business areas, its products and...
-
Compliance Analyst
6 days ago
San Francisco, United States Larson Maddox Full timeA Hedge Fund is seeking a Compliance Professional with experience working for a registered investment adviser. This role will report to the General Counsel / Chief Compliance Officer (GC/CCO). Essential Duties and Responsibilities: Maintain and organize internal compliance books and records. Retain distribution records of client documents evidencing reviews...
-
Compliance Analyst
1 week ago
San Francisco, United States Larson Maddox Full timeA Hedge Fund is seeking a Compliance Professional with experience working for a registered investment adviser. This role will report to the General Counsel / Chief Compliance Officer (GC/CCO). Essential Duties and Responsibilities: Maintain and organize internal compliance books and records. Retain distribution records of client documents evidencing...
-
Compliance Analyst
3 days ago
San Francisco, United States Larson Maddox Full timeJob DescriptionJob DescriptionA Hedge Fund is seeking a Compliance Professional with experience working for a registered investment adviser.This role will report to the General Counsel / Chief Compliance Officer (GC/CCO).Essential Duties and Responsibilities:Maintain and organize internal compliance books and records.Retain distribution records of client...
-
Compliance Analyst
4 days ago
San Francisco, United States Larson Maddox Full timeA Hedge Fund is seeking a Compliance Professional with experience working for a registered investment adviser. This role will report to the General Counsel / Chief Compliance Officer (GC/CCO). Essential Duties and Responsibilities: Maintain and organize internal compliance books and records. Retain distribution records of client documents evidencing reviews...
-
Director of Compliance
2 weeks ago
San Francisco, United States Bayview Hunters Point Foundation Full timeJob DescriptionJob DescriptionDescription:Bayview Hunters Point Foundation: Who We Are: Bayview Hunters Point Foundation has been at the heart of social justice for over 50 years, providing support services for predominantly low-income people of color in the Bayview and throughout San Francisco. Our mission is to build a community that is empowered, clean,...
-
Compliance Engineer OpenAI San Francisco Bay Area.USA
Found in: Jooble US O C2 - 2 weeks ago
San Francisco, CA, United States OpenAI Full timeGovernance, Risk, and Compliance (GRC) is at the foundation of OpenAI’s mission to ensure that artificial general intelligence benefits all of humanity. The GRC team provides security assurances and builds compliance for OpenAI’s technology, people, and products. We are technical in what we build but are operational in how we do our work, and are...
-
Senior Data Science Consultant | Compliance
Found in: Jooble US O C2 - 2 weeks ago
San Francisco, CA, United States Sia Partners Full timeCompany Description Sia Partners is a next-generation consulting firm dedicated to creating state-of-the-art narratives for transformation and innovation and deploying them at scale. Our goal is to deliver superior value and tangible results to our clients as they navigate the digital revolution and achieve transformations which generate a positive impact....
-
Financial Compliance Lead
Found in: beBee jobs US - 2 weeks ago
San Francisco, California, United States Worldcoin Full timeAbout the Company:Worldcoin ) is an open-source protocol, supported by a global community of developers, individuals, economists and technologists committed to expanding participation in, and access to, the global economy. Its community is united around core beliefs in the inherent worth and equality of every individual, the right to personal privacy, and...
-
Senior Program Manager, Compliance
Found in: Jooble US O C2 - 2 weeks ago
San Francisco, CA, United States AngelList Full timeAbout AngelList: We exist to accelerate innovation by increasing the number of successful startups in the world. We want to give more people the opportunity to participate in the venture economy by building the financial infrastructure that makes it possible for more people to invest in world changing startups, and build tools for startups that help them...