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
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