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

Dokken Engineering

Senior Transportation Engineer Job at Dokken Engineering

 ...Dokken Engineering is looking for you! We are hiring senior-level Transportation Engineers to support our project managers and group leaders...  ...: ~ Competitive pay with bonus program ~ Exceptional medical, dental, vision and wellness programs. ~401(k) Profit Sharing... 

Journey Beyond

Hospitality Attendant | Cruise Whitsundays Job at Journey Beyond

 ...Be a part of sharing special places and shaping lasting memories with Australias leading experiential tourism business. About Us Cruise Whitsundays, based in Airlie Beach is the largest marine-based tour and transport provider in the Whitsundays. Providing close... 

B. Braun US Device Manufacturing LLC

Machine Technician - 12 Hour, Night Shift - Pharmacy Job at B. Braun US Device Manufacturing LLC

 ...Expertise: Knowledge & Skills Required to apply entry level working knowledge...  ...: Qualifications -Education/Experience/Training/Etc Required: ~ High school diploma/G.E.D or equivalent...  ...Constantly:Office environment Hourly Pay Rate: $22.52 per hour plus shift... 

The H&K Group

Lowbed Driver Job at The H&K Group

 ...exposed to outside weather conditions Frequently exposed to vibration Occasionally exposed to moving mechanical parts Noise level in the work environment is usually loud Thank you for your interest in employment with H&K Group, Inc. At H&K, we invest... 

Crossroads Hospice & Palliative Care

STNA Weekends (CNA) Job at Crossroads Hospice & Palliative Care

 ...part of their final journey. If this level of compassionate service speaks to your heart, we welcome you to reach out. STNA Weekends (CNA) Available Shifts: Saturday & Sunday 8:00 AM to 8:30 PM Saturday 8:00 PM to 8:30 AM Travel to the office located in...