We are looking for an experienced compliance expert to join our operations team and lead all compliance related activity across the firm, including but not limited to fund, employee, project, and regulatory compliance.
- Conduct periodic internal reviews to ensure that compliance procedures are followed
- Create and implement DRP and BCP as well as cyber security plans; Conduct counterparty and service provider audits to ensure adherence to information security and cybersecurity standards
- File appropriate compliance reports with regulatory agencies including maintaining SEC registration and Form PF
- Disseminate written policies and procedures related to compliance activities and manage the Compliance Manual and Code of Ethics
- Help in new fund formation in cooperation with legal counsel and the business development teams
- Prepare valuation memos in coordination with the valuation committee
- Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities and maintain documentation of compliance activities/Provide employee training on compliance related topics, policies, or procedures
- Keep informed regarding pending industry changes, trends, and best practices and assess the potential impact of these changes on organizational processes.
- 7+ years of fund experience working in regulatory compliance, compliance testing, risk management, or similar fields
- Detail oriented with strong organizational, analytical, and problem solving skills
- Proven ability to function in a fast-paced, ambiguous environment while managing multiple and diverse responsibilities
- Demonstrated ability to develop and implement new business plans in a complex environment
- Excellent judgment and decision-making skills
- Knowledge of cryptocurrency market is preferred but not required