Legal/Compliance Analyst

3 weeks ago

San Francisco CA United States Larson Maddox Full time

A 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 reviews and approvals.
  • Coordinate regulatory filings pursuant to requirements, including Form ADV and Section 13 filings.
  • Assist in the review and approval of all offering and subscription documents with respect to our funds.
  • Monitoring compliance with the firm's policies and procedures. Conduct continuous rolling audits of the firm's practice to ensure compliance with all policies and procedures.
  • Maintain annual log of SEC Exam Priorities and Risk Alerts including Firm response.
  • Assist in the drafting of compliance reports and memorandums to files for any unique compliance related situations. Responsible for filing and organization of all such files.
  • Coordinate compliance program annual review with outside compliance consultants.
  • Support SCP's compliance, training, and testing calendars, including:
  • Prepare and conduct compliance testing.
  • Coordinate the various committee meetings.
  • Assist in developing training materials and presentations.
  • Annually update the required changes in the firm's Compliance Manual and Code of Ethics, update Polices & Procedures and document in material changes log.
  • Work with the Offshore Directors to schedule bi-annual BOD calls.
  • Custody - Audited Financials - Custody Rule 206(4)-2 maintain testing and stay on top of required deadlines.
  • Point Person for receiving Shareholder information (proxies, letters, 10K, 10Q); responsible for electronic filing and when documents received via hard copy to sign up for electronic delivery; track proxy vote dates in log; prepare proxies for votes
  • Point of contact for updating authorized traders, maintain files.

Qualifications/Experience:

  • 2+ years' administrative professional experience.
  • Strong computer skills (Excel, Word, and PowerPoint).
  • Experience with ComplianceAlpha, MyCompliance Office, or other compliance administration technology.
  • Excellent oral and written communication skills.
  • Attention to detail and follow through.
  • Able to prioritize tasks and manage multiple projects on a tight deliverable schedule.
  • Able to work well in collaborative, fast-paced environment (may need to wear many hats as needed).
  • "No job is too small" attitude.

Location: Menlo Park

Structure: 5 days in office

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