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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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