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Director of Compliance
2 weeks ago
San Francisco based venture capital firm is seeking a Director of Compliance to join their growing team Will be working directly with the GC/CCO as part of a two person team. Open to inhouse, SEC and/or IA consulting backgrounds.
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
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
