What are the responsibilities and job description for the Compliance Officer position at Fernridge Group?
Compliance Officer (San Francisco, CA) : Our client, a growing alternative asset manager with over $10B AUM, is seeking a senior compliance officer to join their team. This person will work alongside the GC / CCO touching US and international compliance.
Highlights :
Opportunity to join a growing firm in a newly created capacity working alongside a talented GC / CCO as the first fully dedicated compliance hire
Firm encourages an open door policy and values kind, smart, collaborative people
Highly visible and interactive role across teams and all levels internally
Hybrid work (4 days in) and excellent work / life balance, benefits, and compensation
Responsibilities :
Conduct general compliance reviews including : personal securities transaction reviews, investment restriction reviews; vendor management reviews, social media and political contributions testing
Design and implement compliance policies, procedures and related controls and testing protocols
Prepare regulatory filings (i.e. ADV, Form 13F, Form PF)
Review, edit and update all marketing materials and decks
Support IR on all compliance matters relating to Client / LP inquiries
Handle special projects and / or other duties as assigned by CCO and Management
Gift and entertainment reviews (Conduct reviews on reported gifts and entertainment requests to confirm consistency with global policies and regulatory requirements)
Monitors employee trading to safeguard the firm and to prevent employees from trading on, or the appearance of trading on, material non-public information and liaise with all employees relating to their personal trades
Qualifications :
Minimum 5 years of alternative asset compliance experience
Bachelor's Degree and strong educational background; JD is a strong plus, but not required
High level of self-motivation and interpersonal skills
High level of attention to detail
Experience mentoring / working alongside junior resources
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