Compliance/Risk Control Manager

2 weeks ago

California, United States Olive Asset Management Full time

OverviewDirect message the job poster from Olive Asset ManagementResponsibilitiesOversee US compliance program and manage 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 Gopher US internal controls policies and procedures including writing internal control investment memos for HQ.Provide training and guidance to Gopher US staff on compliance matters and emerging regulations.Maintain US Compliance Manual, Code of Conduct, Operation/Investment Policy and Procedures.Assist with outside third party in maintaining personal security trading system and quarterly and annual certifications.Review, approve, and control all promotional and marketing materials developed in relation to the products distributed.Prepare and present materials relating to product due diligence, policies and procedures, and conflicts of interest, for review and deliberation by the management team.Perform regular compliance annual testing.Coordinate with HQ risk control team/compliance team regarding any US compliance/operation/risk control issue.Monitor new legal and regulatory developments and update policy and procedures accordingly.Any operational projects as assigned.QualificationsBachelor’s degree from reputable universities with a concentration in accounting, finance, regulation, public policy, or economics.5+ years in compliance or compliance-related experience; experience with VC/PE would be a huge plus.Strong attention to detail and good business sense.Self-motivated and proactive to improve operational and accounting efficiency, with the ability to multi-task and balance priorities while maintaining a high level of detail.Strong computer skills including proficiency in MS Office products, in particular Excel/Word/PowerPoint.Top-notch business ethics and ability to maintain positive composure under pressure.Must be fluent (oral/read) in Mandarin Chinese.Must have US work authorizations.Benefits & PerksCompetitive compensation package and opportunity to join a fast-growing team/firm.Hybrid/Remote working environment with flexible working hours.Family-like working environment with a highly professional, inclusive team.Generous PTO/Time-Off to refresh/re-charge with unlimited sick days.Lots of opportunity to learn, grow, and advance vertically.Competitive and comprehensive tech-firm-like health/retirement benefits including 401K matching, no vesting period, FSA, coverage for the whole family.Catering lunch (when in office) and social events/outings (post-Covid).Annual offsite/company sponsored event.We are committed to employment practices that ensure that employees and applicants for employment are provided with equal opportunities without regard to race, color, national origin, ancestry, sex, age, religion, physical or mental disability, medical condition, veteran status, marital status, pregnancy, sexual orientation, gender identity, or gender.Seniority levelDirectorEmployment typeFull-timeJob functionLegal #J-18808-Ljbffr

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