Senior Compliance Officer Job at Fernridge Group, Fremont, CA

SlJoZTVmb1B6d0lXZDRFVEJ0cy9Wd0EvOVE9PQ==
  • Fernridge Group
  • Fremont, CA

Job Description

Senior Compliance Officer (San Francisco Bay Area): Our client, a growing alternative asset manager with over $10B AUM, is seeking a senior compliance officer to join their team. This person will work alongside the GC/CCO touching US and international compliance.

Highlights:

  • Opportunity to join a growing firm in a newly created capacity working alongside a talented GC/CCO as the first fully dedicated compliance hire
  • Firm encourages an open door policy and values kind, smart, collaborative people
  • Highly visible and interactive role across teams and all levels internally
  • Hybrid work (4 days in) and excellent work/life balance, benefits, and compensation

Responsibilities:

  • Conduct general compliance reviews including: personal securities transaction reviews, investment restriction reviews; vendor management reviews, social media and political contributions testing
  • Design and implement compliance policies, procedures and related controls and testing protocols
  • Prepare regulatory filings (i.e. ADV, Form 13F, Form PF)
  • Review, edit and update all marketing materials and decks
  • Support IR on all compliance matters relating to Client/LP inquiries
  • Handle special projects and/or other duties as assigned by CCO and Management
  • Gift and entertainment reviews (Conduct reviews on reported gifts and entertainment requests to confirm consistency with global policies and regulatory requirements)
  • Monitors employee trading to safeguard the firm and to prevent employees from trading on, or the appearance of trading on, material non-public information and liaise with all employees relating to their personal trades

Qualifications:

  • Minimum 5 years of alternative asset compliance experience
  • Bachelor's Degree and strong educational background; JD is a strong plus, but not required
  • High level of self-motivation and interpersonal skills
  • High level of attention to detail
  • Experience mentoring / working alongside junior resources

Job Tags

Similar Jobs

Barrington James

Psychologist Job at Barrington James

 ...assessment may present with regards to indications like social anxiety disorder, PTSD, and borderline personality disorder. No experience administering research assessment scales or psychology licensure are required to apply. The client will provide ongoing... 

Johns Hopkins Medicine

SURG TECH II NON-CERT Job at Johns Hopkins Medicine

 ...Certified 36 hours Nights shift No Call/ Weekends required Basic Life Support (BLS) Certification provided by American Heart Association, American Red Cross, or Military Training Network. Surgical Technologist II Non-Certified: Does not require certification... 

HLB Gross Collins

Tax Internship Job at HLB Gross Collins

 ...Tax Intern to join us at our Kennesaw, GA office. During the internship, you will have opportunities to learn and grow in multiple...  ...technical tax issues Research business and industry trends to assist in proposal development Develop proficiency with various tax... 

HCLTech

Hands and Feet support Technician Job at HCLTech

 ...with Zip code WILMINGTON, OH 45177 About the Role Duties & Responsibilities To provide End to End Hands and Feet support for Alkermes. Install and maintain servers and network devices and other data center equipment. Racking, stacking, and... 

Confidential Employer N/A

Private Chef | Health-Focused, In-Home Cooking (Full-Time) Job at Confidential Employer N/A

Location: Austin, TX Type: Full-Time, Long-Term Role Compensation: $80,000-$120,000, Based on Experience Schedule: Tuesday to Saturday, inclusive (8:00AM- 5:30PM) Benefits: 14 days paid PTO to be taken when family traveling. 5 days paid sick leave. ...