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

eFU3QWw3ek1NaHowbThOWDZkSzVuN3YxeFE9PQ==
  • 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

Why Knot Travel

Remote | Cruise Vacation Planner Job at Why Knot Travel

 ...This is a remote position. Job Title: Cruise Vacation Planner Remote About Why Knot Travel: At Why Knot Travel, we specialize in crafting unforgettable vacation experiencesespecially on the open sea. From romantic Caribbean sailings... 

Ultimate Staffing

Proposal Research Specialist Job at Ultimate Staffing

 ...Proposal Research Specialist Location: Columbia, MD (100% On-Site) Pay Rate: $20 - $25 per hour based on experience Schedule: Monday...  ...identity, gender expression, marital status, disability, medical condition, genetic information, pregnancy, or military or veteran... 

SKZ Trucking LLC

OTR Truck Driver Job at SKZ Trucking LLC

 ...grow our fleet. We transport vehicles nationwide and take every precaution...  ...Role Description The Driver will be responsible for the safe...  ...to take care of it like your own. Day-to-day tasks include driving trucks, ensuring timely delivery of goods, loading and unloading... 

Humanscale

Injection Molding Process Engineer Job at Humanscale

 ...Overview The Injection Molding Process Engineer is a "hands-on" position that plans, directs, and coordinates manufacturing equipment and...  ...projects as required Qualifications Bachelors degree in Plastics, Chemical or Mechanical Engineering is required Minimum... 

Insight Global

Operations Assistant Job at Insight Global

 ...processes Compensation: This position can be either part-time or full-time, depending on the candidate. This is a hybrid role...  ..., as well as HSA, FSA, and DCFSA account options, and 401k retirement account access with employer matching. Employees in this role...