Unity Growth
Chief Compliance Officer
Unity Growth, Washington, District Of Columbia, United States, 20022
About Unity Growth Fund
Unity Growth Fund is a stage-agnostic venture capital firm focused on transformative technology investments. Our portfolio of 25+ companies includes SpaceX, Databricks, Stripe, Anthropic, Figure AI, Anduril, Shield AI, and Harvey, among others. We are actively deploying capital across Artificial Intelligence, MLOps, Robotics, and Deep Tech. Role Overview
We are seeking an experienced Chief Compliance Officer who has previously worked at the Securities and Exchange Commission (SEC) to lead our compliance function and support our finance operations. This senior role will be responsible for ensuring adherence to all applicable securities laws, regulatory requirements, and internal policies while maintaining the financial integrity of our fund operations as we continue to scale our investment activities. Key Responsibilities
Compliance & Regulatory Oversight
Serve as the firm's primary compliance officer, responsible for developing, implementing, and maintaining comprehensive compliance policies and procedures Ensure compliance with federal and state securities laws, including Investment Advisers Act of 1940, Securities Act of 1933, and applicable exemptions Oversee preparation and filing of all regulatory documents, including Form D filings and state blue sky notices Manage investor qualification processes, including verification of accredited investor and qualified purchaser status Monitor regulatory developments and assess impact on fund operations; implement necessary policy updates Prepare for and manage regulatory examinations and inquiries from the Securities and Exchange Commission and state regulators Maintain and update the firm's compliance manual and code of ethics Conduct periodic compliance testing and risk assessments across fund operations Fund Accounting & Financial Reporting
Prepare financial statements for multiple investment vehicles with precision and accuracy Calculate and maintain net asset values (NAV) and investor capital account balances Manage investor capital calls, distributions, and waterfall calculations Coordinate with third-party fund administrators and auditors to ensure seamless reporting processes Investor Operations & Documentation
Maintain detailed capital account records and prepare investor statements Oversee investor onboarding processes, including review of subscription documents and investor qualification materials Support tax preparation processes, including coordination of Schedule K-1 distribution Respond to investor inquiries regarding capital accounts, distributions, and financial reporting Ensure proper documentation and recordkeeping for all investor transactions Controls & Risk Management
Implement and maintain internal controls over financial reporting and compliance processes Maintain organized records in accordance with document retention policies and regulatory requirements Support annual audits and coordinate with external counsel on legal and compliance matters Develop and deliver compliance training programs for staff and stakeholders Oversee anti-money laundering (AML) and know-your-customer (KYC) procedures Portfolio Management Support
Track and record investment transactions, including capital deployments and realizations Monitor and reconcile bank accounts, investment positions, and cash flows Coordinate with portfolio companies regarding valuation support and information requests Assist with preparation of materials for quarterly valuation committee meetings Required Qualifications
Bachelor's degree in Accounting, Finance, Law, or related field Minimum 3 years of professional experience at the Securities and Exchange Commission
in examination, enforcement, or advisory capacity 5-7+ total years of compliance and/or fund accounting experience with private equity, venture capital, or alternative investment funds Deep expertise in securities laws and regulations applicable to private funds and investment advisers Strong understanding of partnership accounting, including capital account mechanics and carried interest calculations Experience with private placement exemptions and private fund structures Proven track record of managing regulatory examinations and implementing compliance programs Proficiency with fund accounting software and Microsoft Excel (advanced functions) Exceptional attention to detail and ability to manage multiple priorities with tight deadlines Strong analytical, problem-solving, and critical thinking skills Excellent written and verbal communication abilities, with experience presenting to senior management Preferred Qualifications
J.D., CPA, or Series 65 license Experience working with fund administrators (e.g., SEI, SS&C, Citco, JPM) Prior experience with emerging manager or growth-stage venture capital funds Experience with multi-vehicle fund complexes and special purpose vehicles Knowledge of ASC 820 (fair value measurements) and ASC 946 (investment company accounting) Familiarity with FINRA, state securities regulations, and international regulatory frameworks Experience implementing compliance technology solutions
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Unity Growth Fund is a stage-agnostic venture capital firm focused on transformative technology investments. Our portfolio of 25+ companies includes SpaceX, Databricks, Stripe, Anthropic, Figure AI, Anduril, Shield AI, and Harvey, among others. We are actively deploying capital across Artificial Intelligence, MLOps, Robotics, and Deep Tech. Role Overview
We are seeking an experienced Chief Compliance Officer who has previously worked at the Securities and Exchange Commission (SEC) to lead our compliance function and support our finance operations. This senior role will be responsible for ensuring adherence to all applicable securities laws, regulatory requirements, and internal policies while maintaining the financial integrity of our fund operations as we continue to scale our investment activities. Key Responsibilities
Compliance & Regulatory Oversight
Serve as the firm's primary compliance officer, responsible for developing, implementing, and maintaining comprehensive compliance policies and procedures Ensure compliance with federal and state securities laws, including Investment Advisers Act of 1940, Securities Act of 1933, and applicable exemptions Oversee preparation and filing of all regulatory documents, including Form D filings and state blue sky notices Manage investor qualification processes, including verification of accredited investor and qualified purchaser status Monitor regulatory developments and assess impact on fund operations; implement necessary policy updates Prepare for and manage regulatory examinations and inquiries from the Securities and Exchange Commission and state regulators Maintain and update the firm's compliance manual and code of ethics Conduct periodic compliance testing and risk assessments across fund operations Fund Accounting & Financial Reporting
Prepare financial statements for multiple investment vehicles with precision and accuracy Calculate and maintain net asset values (NAV) and investor capital account balances Manage investor capital calls, distributions, and waterfall calculations Coordinate with third-party fund administrators and auditors to ensure seamless reporting processes Investor Operations & Documentation
Maintain detailed capital account records and prepare investor statements Oversee investor onboarding processes, including review of subscription documents and investor qualification materials Support tax preparation processes, including coordination of Schedule K-1 distribution Respond to investor inquiries regarding capital accounts, distributions, and financial reporting Ensure proper documentation and recordkeeping for all investor transactions Controls & Risk Management
Implement and maintain internal controls over financial reporting and compliance processes Maintain organized records in accordance with document retention policies and regulatory requirements Support annual audits and coordinate with external counsel on legal and compliance matters Develop and deliver compliance training programs for staff and stakeholders Oversee anti-money laundering (AML) and know-your-customer (KYC) procedures Portfolio Management Support
Track and record investment transactions, including capital deployments and realizations Monitor and reconcile bank accounts, investment positions, and cash flows Coordinate with portfolio companies regarding valuation support and information requests Assist with preparation of materials for quarterly valuation committee meetings Required Qualifications
Bachelor's degree in Accounting, Finance, Law, or related field Minimum 3 years of professional experience at the Securities and Exchange Commission
in examination, enforcement, or advisory capacity 5-7+ total years of compliance and/or fund accounting experience with private equity, venture capital, or alternative investment funds Deep expertise in securities laws and regulations applicable to private funds and investment advisers Strong understanding of partnership accounting, including capital account mechanics and carried interest calculations Experience with private placement exemptions and private fund structures Proven track record of managing regulatory examinations and implementing compliance programs Proficiency with fund accounting software and Microsoft Excel (advanced functions) Exceptional attention to detail and ability to manage multiple priorities with tight deadlines Strong analytical, problem-solving, and critical thinking skills Excellent written and verbal communication abilities, with experience presenting to senior management Preferred Qualifications
J.D., CPA, or Series 65 license Experience working with fund administrators (e.g., SEI, SS&C, Citco, JPM) Prior experience with emerging manager or growth-stage venture capital funds Experience with multi-vehicle fund complexes and special purpose vehicles Knowledge of ASC 820 (fair value measurements) and ASC 946 (investment company accounting) Familiarity with FINRA, state securities regulations, and international regulatory frameworks Experience implementing compliance technology solutions
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