Compliance Manager
3 weeks ago
DescriptionFor details on salary, benefits and more details, please reach out to Michael Lauer via LinkedInMenlo Park; 3x a week in officeCompliance Manager (flexible title)140-160k base + 15% BonusCompany: Our client is the venture capital arm of one of the biggest Wealth Management firm in China. This is a hands-on role for someone who is self-motivated and has the ability and desire to work for a successful firm as a team player in a small work environment.Current AUM: $1.1B AUM and launching 2 more funds Compliance Manager: This is a newly created position that will report to the VP of Finance and CEO; the CCO is based in HK, whom this person will also work closely withThey have an outsourced compliance provider, Accordion, whom this person will work withOversee US compliance program and manage any day-to-day regulatory issues and communicate any compliance requirements with HQ.Act as our appointed CCO in SEC filings and oversee regulatory audits and exams if any.Responsible for all SEC compliance filings and reporting (Form ADV, Form PF etc.)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.Monitor US internal controls policies and procedures including writing internal control investment memos for HQ.Provide training and guidance to US staff on compliance matters and emerging regulations.Maintain US Compliance Manual, Code of Conduct, Operation/Investment Policy and Procedures RequirementsKeys: 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 as this person will be communicating with the China team (the person will not be working China hours) 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 fund5% 401K match, 100% healthcare benefits covered by company, 50% coverage for family PTO - 2.5 weeks and will increases yearly, unlimited sick day Flexible hours, flexible schedule Not strict reporting structure, so lots of potential to growInterview Process:Zoom Interview with the VP of FinanceVirtual Interview with other team members OfferFor details on salary, benefits and more details, please reach out to Michael Lauer via LinkedInJob typePerm
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