Senior Cco

LA-based VC Firm] - Deputy/Chief Compliance Ofcer Fully Remote | Monthly Onsite

We are a venture capital firm that supports founders across the business lifecycle from inception to IPO. Our senior leadership is based in California, but our team is distributed.

We are a registered investment adviser looking to bring on a compliance lead to help develop and maintain our compliance function alongside our general counsel. This will be a remote-friendly position, with once-per-month travel as needed for in-person team meetings. The ideal candidate is someone who understands the venture capital space, funds, and compliance and regulatory policies related to asset management. 6+ years of experience advising on compliance and regulatory matters, either in-house at an investment adviser (preferably an RIA and preferably in the venture/PE space) or at a top-tier law firm in a securities regulatory or investment management practice.
~ Excellent analytical, project management, and organizational skills.
~ Comfortable handling responsibilities ranging from administrative to managerial, working independently as well as collaboratively.
~ M. from a top-tier law school strongly preferred.

Devise, initiate, maintain, and revise compliance and regulatory policies, procedures, controls, and training based on the specific needs of the business and current regulatory requirements.
Provide regulatory and compliance advice to our partners and investment team.
Work with outside counsel to monitor and implement responses to regulatory developments that impact our businesses.
Take the lead on responding to requests from regulators, preparing for regulatory examinations, and carrying out practice exams, testing, and improvements.
Coordinate on compliance and regulatory matters, including updating regulatory filings such as Form ADV Parts 1 and 2 and Form PF, maintaining related records, ensuring filings are timely made, and requirements are current.
Ongoing review of industry and regulatory developments potentially impacting businesses and products.

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