Compliance Analyst

4 weeks ago


San Francisco, United States Larson Maddox Full time

A Menlo Park Based Hedge Fund is seeking a Compliance Analyst with experience working for a registered investment adviser to join our compliance team.This role will report to the General Counsel / Chief Compliance Officer (GC/CCO).The Analyst Will Be Responsible ForDevelop and maintain an in-depth understanding of the business areas, its products and supporting functionsAdminister Code of Ethics program (personal trading, gifts and outside business entertainment, political contributions).Prepare regulatory filings (Form ADV, Form PF, Reg D/state blue sky filings, etc.)Assist with Compliance training programsTest the Compliance programReview new rules and regulations and implement processes and controls in accordance with those rules by the compliance dateAdvisers Act and/or Investment Company Act, which could include public accounting, due diligence, internal audit or similar roles in the financial services industryRequirementsBachelor's degree, legal/compliance, finance and accounting background a plusJD (Juris Doctor Degree)1-3 years of relevant work experience and familiarity with Advisers ActLocation : Menlo ParkStructure: 5 days in office#J-18808-Ljbffr

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