Compliance Analyst - San Francisco, United States - Larson Maddox

Description

A Hedge Fund is seeking a Compliance Professional with experience working for a registered investment adviser.

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

Essential Duties and Responsibilities:

• Maintain and organize internal compliance books and records.
• Retain distribution records of client documents evidencing reviews and approvals.
• Coordinate regulatory filings pursuant to requirements, including Form ADV and Section 13 filings.
• Assist in the review and approval of all offering and subscription documents with respect to our funds.
• Monitoring compliance with the firm's policies and procedures. Conduct continuous rolling audits of the firm's practice to ensure compliance with all policies and procedures.
• Maintain annual log of SEC Exam Priorities and Risk Alerts including Firm response.
• Assist in the drafting of compliance reports and memorandums to files for any unique compliance related situations. Responsible for filing and organization of all such files.
• Coordinate compliance program annual review with outside compliance consultants.
• Support SCP's compliance, training, and testing calendars, including:
• Prepare and conduct compliance testing.
• Coordinate the various committee meetings.
• Assist in developing training materials and presentations.
• Annually update the required changes in the firm's Compliance Manual and Code of Ethics, update Polices & Procedures and document in material changes log.
• Work with the Offshore Directors to schedule bi-annual BOD calls.
• Custody - Audited Financials - Custody Rule maintain testing and stay on top of required deadlines.
• Point Person for receiving Shareholder information (proxies, letters, 10K, 10Q); responsible for electronic filing and when documents received via hard copy to sign up for electronic delivery; track proxy vote dates in log; prepare proxies for votes
• Point of contact for updating authorized traders, maintain files.

Qualifications/Experience:

• 2+ years' administrative professional experience.
• Strong computer skills (Excel, Word, and PowerPoint).
• Experience with ComplianceAlpha, MyCompliance Office, or other compliance administration technology.
• Excellent oral and written communication skills.
• Attention to detail and follow through.
• Able to prioritize tasks and manage multiple projects on a tight deliverable schedule.
• Able to work well in collaborative, fast-paced environment (may need to wear many hats as needed).
• 'No job is too small' attitude.

Location: Menlo Park

Structure: 5 days in office