Compliance Officer

Compliance Officer (San Francisco, CA): Our client, a growing alternative asset manager with over $10B AUM, is seeking a senior compliance officer to join their team. This person will work alongside the GCCCO touching US and international compliance.Highlights: Opportunity to join a growing firm in a newly created capacity working alongside a talented GCCCO as the first fully dedicated compliance hire Firm encourages an open door policy and values kind, smart, collaborative people Highly visible and interactive role across teams and all levels internally Hybrid work (4 days in) and excellent worklife balance, benefits, and compensation Responsibilities:Conduct general compliance reviews including: personal securities transaction reviews, investment restriction reviews; vendor management reviews, social media and political contributions testingDesign and implement compliance policies, procedures and related controls and testing protocolsPrepare regulatory filings (i.e. ADV, Form 13F, Form PF) Review, edit and update all marketing materials and decks Support IR on all compliance matters relating to ClientLP inquiriesHandle special projects andor other duties as assigned by CCO and ManagementGift and entertainment reviews (Conduct reviews on reported gifts and entertainment requests to confirm consistency with global policies and regulatory requirements)Monitors employee trading to safeguard the firm and to prevent employees from trading on, or the appearance of trading on, material non-public information and liaise with all employees relating to their personal tradesQualifications:Minimum 5 years of alternative asset compliance experience Bachelor's Degree and strong educational background; JD is a strong plus, but not required High level of self-motivation and interpersonal skillsHigh level of attention to detailExperience mentoring working alongside junior resources

Created: 2025-02-21