Director of Compliance

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 firm’s 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 firm’s 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 firm’s 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