Director of Compliance

2 weeks ago

San Mateo, CA, United States JW Michaels & Co. Full time

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

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