Unity Growth
Unity Growth Fund is a stage‑agnostic venture capital firm focused on transformative technology investments. Our portfolio 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.
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 record‑keeping 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
Seniority level
Executive
Employment type
Full-time
Job function
Legal
Industries
Venture Capital and Private Equity Principals
#J-18808-Ljbffr
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.
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 record‑keeping 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
Seniority level
Executive
Employment type
Full-time
Job function
Legal
Industries
Venture Capital and Private Equity Principals
#J-18808-Ljbffr