JW Michaels & Co.
Director of Compliance (Fremont)
JW Michaels & Co., Fremont, California, United States, 94537
San Francisco based venture capital firm is seeking a Director of Compliance to join their growing team! Will be working directly with the GC/CCO as part of a two person team. Open to inhouse, SEC and/or IA consulting backgrounds.
Enhance and review the firms existing compliance program, including updating current firm policies and procedures and ensuring adherence to current regulatory requirements Promote and maintain a strong culture of compliance, including ongoing education for firm personnel Assist in the preparation of required regulatory filings, including Form ADV, Form PF and other SEC and state filings, as applicable Document and maintain various trackers and approval logs related to policies and procedures Review and approve the firms marketing materials Partner closely with our compliance consultant on annual, quarterly, and monthly reviews, including executing testing, and ensuring the firm maintains an effective and well-documented compliance program Administer the firms Compliance Manual, including personal securities trading reviews, outside business activity approvals, gift & entertainment monitoring and political contribution tracking Review investor communications, including LP updates, reporting and data room materials to ensure consistency with regulatory standards and fund documents Ensure cybersecurity and IT policies align with current best practices Work with various external vendors Ensure proper review and annual renewal of all insurance (D&O, property, general liability, workers comp., etc.) Work with real estate brokers to negotiate lease, as required
Requirements At least 3 years of experience in compliance consultant industry with exposure to alternative investment firms and increasing responsibilities Ability to work on a hybrid schedule, with attendance required on designated in-office days at our SF or LV office and occasional travel Excellent communication, problem solving and interpersonal skills General understanding of venture capital firms Very detail oriented and proactive
Enhance and review the firms existing compliance program, including updating current firm policies and procedures and ensuring adherence to current regulatory requirements Promote and maintain a strong culture of compliance, including ongoing education for firm personnel Assist in the preparation of required regulatory filings, including Form ADV, Form PF and other SEC and state filings, as applicable Document and maintain various trackers and approval logs related to policies and procedures Review and approve the firms marketing materials Partner closely with our compliance consultant on annual, quarterly, and monthly reviews, including executing testing, and ensuring the firm maintains an effective and well-documented compliance program Administer the firms Compliance Manual, including personal securities trading reviews, outside business activity approvals, gift & entertainment monitoring and political contribution tracking Review investor communications, including LP updates, reporting and data room materials to ensure consistency with regulatory standards and fund documents Ensure cybersecurity and IT policies align with current best practices Work with various external vendors Ensure proper review and annual renewal of all insurance (D&O, property, general liability, workers comp., etc.) Work with real estate brokers to negotiate lease, as required
Requirements At least 3 years of experience in compliance consultant industry with exposure to alternative investment firms and increasing responsibilities Ability to work on a hybrid schedule, with attendance required on designated in-office days at our SF or LV office and occasional travel Excellent communication, problem solving and interpersonal skills General understanding of venture capital firms Very detail oriented and proactive