Compliance Associate (New York, NY OR San Francisco, CA) : Our client, a successful venture capital firm, is looking to bring on a motivated compliance professional to work alongside the CCO. This is an opportunity to join a newly registered fund as the third hire in compliance.

Key Points:

• Opportunity to join a stable and growing VC firm with a tremendous track record
• New hire will work directly under the CCO who is excited to mentor, train, and grow this person’s skill set
• The company promotes an entrepreneurial and collaborative culture; they value a flat structure and continuous development of their employees

Responsibilities:

• Administer the firm’s compliance and code of ethics program, including administering firm systems for employee personal trading, political contributions, gifts and business entertainment reporting
• Perform compliance testing and email surveillance; document testing results
• Oversee any service providers performing AML, KYC and sanctions checks on prospective clients and investments
• Support with regulatory filings such as Form PF, Form D, and Form ADV
• Prepare and respond to periodic investor requests including due diligence questionnaires and other certifications
• Potential to expand responsibilities across broader compliance tasks, e.g. ESG/Sustainability program

Qualifications:

• 3+ years of related compliance experience with a private equity or venture capital firm is strongly preferred but will consider similar financial institutions (hedge funds, asset managers, registered investment advisor)
• Familiarity with applicable law, rules, and regulations for investment advisers (Investment Advisers Act of 1940, “Pay-to-Play” rules, insider trading laws etc.)
• Nice to have - familiarity with jurisdictions including Cayman, UK and Eu
• Exceptional attention to detail and organizational skills; comfortable working efficiently and effectively on multiple deadlines
• Team player, with the ability to take initiative on new projects; must have a professional demeanor with a long-term interest in compliance