Compliance Analyst - Hedge Fund Job at Larson Maddox, Fair Oaks, CA

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  • Larson Maddox
  • Fair Oaks, CA

Job Description

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

Job Tags

Full time, Work experience placement,

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