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    Compliance Analyst - San Francisco, CA, United States - Larson Maddox

    Larson Maddox
    Larson Maddox San Francisco, CA, United States

    2 weeks ago

    Default job background
    Description

    A Menlo Park Based Hedge Fund is seeking a Compliance Analyst with experience working for a registered investment adviser to join our compliance team.

    This role will report to the General Counsel / Chief Compliance Officer (GC/CCO).

    The Analyst will be responsible for:

    • Develop and maintain an in-depth understanding of the business areas, its products and supporting functions
    • Administer Code of Ethics program (personal trading, gifts and outside business entertainment, political contributions).
    • Prepare regulatory filings (Form ADV, Form PF, Reg D/state blue sky filings, etc.)
    • Assist with Compliance training programs
    • Test the Compliance program
    • Review new rules and regulations and implement processes and controls in accordance with those rules by the compliance date
    • Advisers Act and/or Investment Company Act, which could include public accounting, due diligence, internal audit or similar roles in the financial services industry

    Requirements:

    • Bachelor's degree, legal/compliance, finance and accounting background a plus
    • JD (Juris Doctor Degree)
    • 1-3 years of relevant work experience and familiarity with Advisers Act

    Location: Menlo Park

    Structure: 5 days in office

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