A Menlo Park Based Hedge Fund is seeking a Compliance Analyst with experience working for a registered investment adviser to join our compliance team.
This role will report to the General Counsel / Chief Compliance Officer (GC/CCO).
The Analyst will be responsible for:
- Develop and maintain an in-depth understanding of the business areas, its products and supporting functions
- Administer Code of Ethics program (personal trading, gifts and outside business entertainment, political contributions).
- Prepare regulatory filings (Form ADV, Form PF, Reg D/state blue sky filings, etc.)
- Assist with Compliance training programs
- Test the Compliance program
- Review new rules and regulations and implement processes and controls in accordance with those rules by the compliance date
- Advisers Act and/or Investment Company Act, which could include public accounting, due diligence, internal audit or similar roles in the financial services industry
Requirements:
- Bachelor's degree, legal/compliance, finance and accounting background a plus
- JD (Juris Doctor Degree)
- 1-3 years of relevant work experience and familiarity with Advisers Act
Location : Menlo Park
Structure: 5 days in office