Compliance Officer - Fernridge Group : Job Details

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 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