Compliance Officer

1 week ago

Santa Rosa, CA, United States JW Michaels & Co. Full time

SF based venture capital firm is seeking a mid level Compliance Officer to join their growing team

Overall Position Responsibilities

Enhance and review the firm's existing compliance program, including updating current firm policies and procedures and

ensuring adherence to current regulatory requirements

Promote and maintain a strong culture of compliance, including ongoing education for firm personnel

Assist in the preparation of required regulatory filings, including Form ADV, Form PF and other SEC and state filings, as

applicable

Document and maintain various trackers and approval logs related to policies and procedures

Review and approve the firm's marketing materials

Partner closely with our compliance consultant on annual, quarterly, and monthly reviews, including executing testing, and

ensuring the firm maintains an effective and well-documented compliance program

Administer the firm's Compliance Manual, including personal securities trading reviews, outside business activity approvals, gift

& entertainment monitoring and political contribution tracking

Review investor communications, including LP updates, reporting and data room materials to ensure consistency with

regulatory standards and fund documents

Ensure cybersecurity and IT policies align with current best practices

Work with various external vendors

Ensure proper review and annual renewal of all insurance (D&O, property, general liability, workers comp., etc.)

Work with real estate brokers to negotiate lease, as required

Other duties as assigned

Requirements

At least 3 years of experience in compliance consultant industry with exposure to alternative investment firms and increasing

responsibilities

Ability to work on a hybrid schedule, with attendance required on designated in-office days at our SF or LV office and occasional

travel

Excellent communication, problem solving and interpersonal skills

General understanding of venture capital firms

Very detail oriented and proactive

Strong ability to multi-task and juggle priorities

Very comfortable working independently and alone

Demonstrated flexibility and creative, entrepreneurial attitude

Curiosity for constant learning and process improvement/optimization

University degree or equivalent experience

JD a plus, but not required

SEC regulatory experience a plus, but not required

  • Mid-Level Compliance Specialist

    2 weeks ago

    Santa Rosa, CA, United States JW Michaels & Co. Full time

    Join a prominent venture capital firm dedicated to enhancing compliance standards and practices! We are seeking a Mid-Level Compliance Specialist to contribute to our dynamic team. Key Responsibilities: Enhance and review our existing compliance program, ensuring it aligns with current regulatory requirements. Foster a robust culture of compliance through...

  • Mid-Level Compliance Specialist

    1 week ago

    Santa Rosa, CA, United States JW Michaels & Co. Full time

    Join a prominent venture capital firm dedicated to enhancing compliance standards and practices! We are seeking a Mid-Level Compliance Specialist to contribute to our dynamic team. Key Responsibilities: Enhance and review our existing compliance program, ensuring it aligns with current regulatory requirements. Foster a robust culture of compliance through...

  • Mid-Level Compliance Specialist

    1 week ago

    Santa Rosa, CA, United States JW Michaels & Co. Full time

    Join a prominent venture capital firm dedicated to enhancing compliance standards and practices! We are seeking a Mid-Level Compliance Specialist to contribute to our dynamic team. Key Responsibilities: Enhance and review our existing compliance program, ensuring it aligns with current regulatory requirements. Foster a robust culture of compliance through...

  • Health Care Compliance Analyst

    2 weeks ago

    Santa Rosa, CA, United States GovernmentJobs.com Full time

    Health Care Compliance Analyst Join our cohesive team as a Health Care Compliance Analyst and support the mission and values of the Department of Health Services! Starting salary up to $72.93/hour ($152,213/year) and a competitive total compensation package! This position requires (at the time of application) a valid, California license, registration, or...

  • Health Care Compliance Analyst

    2 weeks ago

    Santa Rosa, CA, United States GovernmentJobs.com Full time

    Health Care Compliance Analyst Join our cohesive team as a Health Care Compliance Analyst and support the mission and values of the Department of Health Services! Starting salary up to $72.93/hour ($152,213/year) and a competitive total compensation package! This position requires (at the time of application) a valid, California license, registration, or...

  • Licensed Therapist Compliance Partner

    2 weeks ago

    Santa Rosa, CA, United States Ensign Services Full time

    Licensed Therapist Compliance Partner (OT, PT, SLP) About the Opportunity Ensign Services, Inc.'s (ESI) Compliance Department is seeking a Therapy Billing Compliance Partner. Must be an Occupational Therapist, Physical Therapist or Speech Therapist with at least five years' experience in the skilled nursing environment. Primary responsibilities will involve...

  • Licensed Therapist Compliance Partner

    4 days ago

    Santa Rosa, CA, United States Ensign Services Full time

    Licensed Therapist Compliance Partner (OT, PT, SLP) About the Opportunity Ensign Services, Inc.'s (ESI) Compliance Department is seeking a Therapy Billing Compliance Partner. Must be an Occupational Therapist, Physical Therapist or Speech Therapist with at least five years' experience in the skilled nursing environment. Primary responsibilities will involve...

  • Licensed Therapist Compliance Partner

    4 days ago

    Santa Rosa, CA, United States Ensign Services Full time

    Licensed Therapist Compliance Partner (OT, PT, SLP) About the Opportunity Ensign Services, Inc.'s (ESI) Compliance Department is seeking a Therapy Billing Compliance Partner. Must be an Occupational Therapist, Physical Therapist or Speech Therapist with at least five years' experience in the skilled nursing environment. Primary responsibilities will involve...

  • Health Care Compliance Analyst

    1 week ago

    Santa Rosa, CA, United States County of Sonoma, CA Full time

    Salary : $125,227.20 - $152,213.66 Annually Location : Santa Rosa, CA Job Type: Full-Time Job Number: 25/11-2420-OC Department: Department of Health Services (DHS) Opening Date: 12/09/2025 Closing Date: Continuous Bargaining Unit: 50 Position Information Join our cohesive team as a Health Care Compliance Analyst and support the mission and values of the...

  • Health Care Compliance Analyst

    4 days ago

    Santa Rosa, CA, United States County of Sonoma, CA Full time

    Salary : $125,227.20 - $152,213.66 Annually Location : Santa Rosa, CA Job Type: Full-Time Job Number: 25/11-2420-OC Department: Department of Health Services (DHS) Opening Date: 12/09/2025 Closing Date: Continuous Bargaining Unit: 50 Position Information Join our cohesive team as a Health Care Compliance Analyst and support the mission and values of the...