Compliance Manager - Venture Capital

Our client is a fast growing venture capital firm based in the south bay. This is a high exposure role, reporting to the CEO. This role is also very hands on with a lot of upward mobility!

Day to Day:

Oversee compliance program and manage any day-to-day regulatory issues and communicate any compliance requirements with HQ.

Responsible for all SEC compliance filings and reporting (Form ADV, Form PF etc.)

Develop and/or direct the formulation and maintenance of compliance policies and procedures including related internal controls, compliance training, independent testing, AML and recordkeeping requirements.

Perform regular compliance annual testing.

Ideal Candidate:

5+ years of accounting experience within the financial services compliance/legal space

FRNA and SEC filing reporting is a huge plus but if no, risk control experience will do as well

Mandarin is a MUST!

Culture fit: someone who is willing to learn and interested in working for a startup fund environment