Compliance Manager

Robert Half
Published
January 7, 2021
Location
Santa Clara, CA
Category
Job Type

Description

Ref ID: 00110-9502808772

Classification: Compliance Manager

Compensation: DOE

If you are interested on applying for this position. Please email Jayvelle at [Click Here to Email Your Resumé] with your updated resume to be considered for the opportunity below.

Our client is a venture capital arm of the biggest Wealth Management firm in China: This is a hands-on role for someone who is self-motivated and has the ability and desire to work for a successful firm as a team player in a small work environment. $350M and projected to be $500M in 2021

Compliance Manager:

• This is a newly created position that will report to the VP of Finance. Some of the work for this person includes but not limited to:
•Oversee US compliance functions and manage any day-to-day regulatory issues and communicate any compliance/legal requirements with HQ
•Act as our appointed SEC and other regulatory liaison, managing regulatory audits and exams
•Responsible for all SEC compliance filings and reporting (Form ADV, Form PF etc.)
•Develop and/or direct the formulation and maintenance of compliance policies and procedures including related internal controls, training, independent testing, AML and recordkeeping requirements;

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