Senior Compliance Officer Job at Fernridge Group, San Mateo, CA

RVEwOWpxT2dacTQ0a1hvODMreUo0OXJsVWc9PQ==
  • Fernridge Group
  • San Mateo, CA

Job Description

Senior Compliance Officer (San Francisco Bay Area): 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 GC/CCO touching US and international compliance.

Highlights:

  • Opportunity to join a growing firm in a newly created capacity working alongside a talented GC/CCO 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 work/life 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 testing
  • Design and implement compliance policies, procedures and related controls and testing protocols
  • Prepare 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 Client/LP inquiries
  • Handle special projects and/or other duties as assigned by CCO and Management
  • Gift 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 trades

Qualifications:

  • 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 skills
  • High level of attention to detail
  • Experience mentoring / working alongside junior resources

Job Tags

Similar Jobs

HireTalent - Staffing & Recruiting Firm

Event Coordinator Job at HireTalent - Staffing & Recruiting Firm

 ...will be a self-driven professional with a proven track record in event management, demonstrating exceptional attention to detail. We...  ...of exceeding client expectations. This role involves coordinating meeting and event logistics for Customer Briefings while maintaining... 

Kalnin Ventures, LLC

Sr. Reservoir Engineer (Development) Job at Kalnin Ventures, LLC

 ...The role requires a team player. Works closely with completions engineering to develop optimal completion designs and mitigate frac hits. Partners with geoscience teams and other functions to determine the optimal areas of the field to focus on. Works on multi-discipline... 

momentum-formerly-ucpla

Direct Support Professional I (DSP I) Job at momentum-formerly-ucpla

 ...AM, Sunday & Monday; and 3:00 PM to 11:00 PM, Thursday - Saturday (Floater) Momentum is hiring a Direct Support Professional I (DSP I)to provide support to adults with disabilities. As a Direct Support Professional I (DSP I), you will be responsible for the implementation... 

Akkodis

Customer Service Representative Job at Akkodis

 .... Ideally looking for applicants with a solid background in Insurance/Health Insurance and working experience with claims and benefits, and...  ...goal of 30 minutes of after call work per day. ~ Call hold times should not exceed 2 minutes without following up with the... 

SEEK Professionals, LLC

Installation Technician Job at SEEK Professionals, LLC

 ...DIRECT HIRE Do you have experience with machine start-up installation projects? Are you a great communicator and problem solver? Our customer is passionate about advancing and optimizing production processes through a combination of people, technology and sustainability...