Senior Compliance Officer

Fernridge Group; Hayward (CA); Hybrid; USD 80,000 - 150,000; Full time

Job summary

An established industry player in the alternative asset management sector is seeking a Senior Compliance Officer to join their dynamic team. This newly created role offers the chance to work closely with the General Counsel and Chief Compliance Officer, ensuring compliance across both US and international regulations. The firm promotes a collaborative environment with a strong emphasis on work-life balance and employee well-being. As the first dedicated compliance hire, you will have a significant impact on the firm's compliance framework, making it an exciting opportunity for a motivated professional looking to grow their career in a supportive setting.

Benefits

Excellent work/life balance

Comprehensive benefits

Collaborative work environment

Open door policy

Qualifications

• 5+ years of experience in alternative asset compliance.
• Strong educational background with a Bachelor's degree; JD is a plus.

Responsibilities

• Conduct compliance reviews and implement policies and procedures.
• Prepare regulatory filings and support compliance matters.

Skills

Alternative Asset Compliance

Regulatory Filings

Vendor Management

Attention to Detail

Interpersonal Skills

Education

Bachelor's Degree

Juris Doctor (JD)

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

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