SEC Compliance Director

4 weeks ago


Palo Alto, United States Robert Half Full time

Our client is a fast growing venture capital firm based in the south bay. This is a high exposure role, reporting to the CEO. This role is also very hands on with a lot of upward mobility


Day to Day:

  1. Oversee compliance program and manage any day-to-day regulatory issues and communicate any compliance requirements with HQ.
  2. Responsible for all SEC compliance filings and reporting (Form ADV, Form PF etc.)
  3. Develop and/or direct the formulation and maintenance of compliance policies and procedures including related internal controls, compliance training, independent testing, AML and recordkeeping requirements.
  4. Perform regular compliance annual testing.


Ideal Candidate:

  • 5+ years of accounting experience within the financial services compliance/legal space
  • FRNA and SEC filing reporting is a huge plus but if no, risk control experience will do as well
  • Mandarin is a MUST
  • Culture fit: someone who is willing to learn and interested in working for a startup fund environment


Why work here:

  • Fast growing and successful venture capital fund
  • Great benefits
  • Flexible hours, flexible schedule
  • Not strict reporting structure, so lots of potential to grow
  • Lots of upward mobility
  • Team is very friendly, very easy to work with and open minded communication style


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