Description

If you are interested, please view my Linkedin under Charlie O'Brien and shoot me a message!

Our client, headquartered in Menlo Park, operates as the venture capital division of a massive China based Wealth Management firm. They offer an engaging opportunity for a proactive individual keen to contribute to a thriving organization, fostering teamwork within a dynamic, close-knit setting. Presently managing assets totaling $1.1 billion, they are also poised to launch two additional funds to expand their investment portfolio.

Job Description and Responsibilities:

• Lead US compliance program, address daily regulatory issues, and relay compliance needs to HQ.

• Serve as the designated CCO for SEC filings, oversee regulatory audits, and exams.

• Manage SEC compliance filings and reporting such as Form ADV, Form PF.

• Develop and maintain compliance policies, internal controls, training, and AML protocols.

• Monitor and document internal controls, preparing investment memos for HQ.

• Train US staff on compliance and new regulations.

• Update and uphold US Compliance Manual, Code of Conduct, and policies.

• Support third-party personal security trading system and certifications.

• Approve promotional materials and oversee marketing compliance.

• Present materials on due diligence, policies, and conflicts of interest to management.

• Conduct regular compliance testing.

• Coordinate with HQ risk control team on US compliance issues.

• Stay abreast of legal and regulatory changes, updating policies accordingly.

• Assist in assigned operational projects.

Why work here:

• Fast growing and successful venture capital fund!

• 5% 401K match, 100% healthcare benefits covered by company, 50% coverage for family

• PTO - 2.5 weeks and will increases yearly, unlimited sick day

• Flexible hours, flexible schedule

• Not strict reporting structure, so lots of potential to grow

• Great growth opportunity: the hiring manager joined as controller and was promoted to VP of finance within the year. The career for this person can be VP of compliance, VP of legal, COO

• Team is very friendly, very easy to work with and open minded communication style

  Requirements

Key requirements:

• 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 as this person will be communicating with the China team (the person will not be working China hours!)

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

Robert Half is the world’s first and largest specialized talent solutions firm that connects highly qualified job seekers to opportunities at great companies. We offer contract, temporary and permanent placement solutions for finance and accounting, technology, marketing and creative, legal, and administrative and customer support roles.

Robert Half works to put you in the best position to succeed. We provide access to top jobs, competitive compensation and benefits, and free online training. Stay on top of every opportunity - whenever you choose - even on the go. Download the Robert Half app (https://www.roberthalf.com/us/en/mobile-app) and get 1-tap apply, notifications of AI-matched jobs, and much more.

All applicants applying for U.S. job openings must be legally authorized to work in the United States. Benefits are available to contract/temporary professionals, including medical, vision, dental, and life and disability insurance. Hired contract/temporary professionals are also eligible to enroll in our company 401(k) plan. Visit roberthalf.gobenefits.net for more information.

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