Job Information
Robert Half Compliance Manager - Venture Capital in San Mateo, California
Description
For details on salary, benefits and more details, please reach out to Michael Lauer via LinkedIn
Menlo Park; 3x a week in office
Compliance Manager (flexible title)
140-160k base + 15% Bonus
Company:
Our client is the venture capital arm of one of the biggest Wealth Management firm in China. This is a hands-on role for someone who is self-motivated and has the ability and desire to work for a successful firm as a team player in a small work environment.
Current AUM: $1.1B AUM and launching 2 more funds
Compliance Manager:
This is a newly created position that will report to the VP of Finance and CEO; the CCO is based in HK, whom this person will also work closely with
They have an outsourced compliance provider, Accordion, whom this person will work with
Oversee US compliance program and manage any day-to-day regulatory issues and communicate any compliance requirements with HQ.
Act as our appointed CCO in SEC filings and oversee regulatory audits and exams if any.
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.
Monitor US internal controls policies and procedures including writing internal control investment memos for HQ.
Provide training and guidance to US staff on compliance matters and emerging regulations.
Maintain US Compliance Manual, Code of Conduct, Operation/Investment Policy and Procedures
Requirements
Keys:
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
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
Interview Process:
Zoom Interview with the VP of Finance
Virtual Interview with other team members
Offer
For details on salary, benefits and more details, please reach out to Michael Lauer via LinkedIn
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