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

dDdvSVVJZExSdUU0Z1BnQ3NRU0F5MnA1K2c9PQ==
  • 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,

Similar Jobs

Continuum Medical Staffing

Anesthesiology Hartford CT Job at Continuum Medical Staffing

(Physician/MD qualifications required) Anesthesiology - ANESTHESIOLOGY FINDLAY OHIO We are looking for a BC|BE Anesthesiologist for a local hospital most of the time and occasional surgery center coverage in Findlay Ohio. Compensation & Benefits High salary to... 

Pebble Creek Produce

Delivery Driver/Farm Hand Job at Pebble Creek Produce

 ...Pebble Creek Produce is a micro farm specializing in gourmet, culinary mushrooms trusted by award-winning chefs for our uncompromising...  ...full time team member to join the team as a delivery driver/farm hand. This position is Monday-Friday with occasional short weekend shifts... 

Seneca Foods Corporation

Water Treatment/Digestor Operator Job at Seneca Foods Corporation

 ...seeds, harvest crops, manufacture our own containers and provide a wide range of nutritious fruit and vegetable products.Water Treatment/Digestor Operator.Seneca Foods in Montgomery, MN is currently seeking a Water Treatment/Digestor Operator to join our team.... 

Salt City Trucking

CDL A Local Driver Job at Salt City Trucking

 ...Local job for MVT! 6 months experience is required! Home every day! Monday thru Friday days and night shifts available...  ...Qualifications: Valid Class A CDL Verifiable experience of 6 months...  ...trailers 40ft or above Clean record! Can pass urine test, no sap drivers... 

Optum

Home Delivery Pharmacy Technician - Moline, IL Job at Optum

 ...millions of people live healthier lives. The work you do with our team will directly...  ...by connecting people with the care, pharmacy benefits, data, and resources they need...  ...Connecting. Growing together.As a Pharmacy Technician - Home Delivery , you will be asked to shadow...