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

    Larson Maddox
    Larson Maddox San Francisco, CA, United States

    2 weeks ago

    Default job background
    Description
    5 days ago Be among the first 25 applicants
    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 Seniority level
    ~ Seniority level Mid-Senior level

    Employment type
    ~ Employment type Full-time

    Job function
    Job function Legal
    Industries Professional Services
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