Compliance Officer – World's Leading VC Firm
Consultant Henry Smith
Date posted October 18, 20187 Times Square New York NY 10036 Robert Walters United States of America
Industry leading West Coast VC firm requires a Compliance Officer to work as part of the high performance compliance function. Fantastic firm, with a top tier reputation and culture.
World's leading VC firm requires a Compliance Officer to work as part of the high performance compliance function.
The role will involve providing advice and guidance to the business in order to satisfy all external regulatory compliance obligations and client contractual requirements.
A solid understanding of the regulatory environment governing Investment Management and VC is preffered as is prior experience dealing directly with the financial services.
It is a great role at the world's leading VC firm and a potential to build your career in compliance and legal.
Duties will entail -
- To consider the implications of client contractual, legislative and regulatory compliance requirements on the operation of the investment advisory business
- Documentation and dissemination of relevant policy and, where necessary, procedures to promote client contractual, legislative and regulatory compliance
- Assist with all regulatory inquiries, prepare regulatory filings when necessary and handle all regulatory audits and exams
- Assess the impact of legislative changes to the investment management sector, and ensure the business units are fully informed
- Be a point of contact for both the business as well as for external clients with respect to compliance matters
- Continuous oversight compliance training and education throughout the business.
Suitable candidates will possess -
- 3+ years relevant experience in investment advisory compliance or legal positions
- A Juris Doctor is essential
- Excellent regulatory knowledge, specifically related to VC firms is a plus
- Excellent written and verbal communication skills
- Ability to work in a team environment and deal with stakeholders at all levels of seniority