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

Colbert Marketing Group

Creative Director Job at Colbert Marketing Group

Creative Director Location Remote : Overview We are seeking a visionary and dynamic Creative Director to lead our creative team and drive innovative projects that resonate with our brand's identity. The ideal candidate will possess a strong blend of creativity, strategic... 

Degica

Site Reliability Engineer - Observability Job at Degica

 ...our systems grow in complexity, scale, and traffic , maintaining their reliability and availability becomes increasingly challengingand critical. We're looking for a Site Reliability Engineer (SRE) with a focus for observability to help us meet these demands.... 

GDIT

SAP Functional Analyst FI/CO S4 HANA Federal Job at GDIT

 ...Financial Systems Analyst Sr Advisor Transform technology into opportunity as a Federal Financial Systems Analyst Sr Advisor with GDIT. A career in enterprise IT means connecting and enhancing the systems that matter most. At GDIT you'll be at the forefront of... 

Amazon.com Services LLC

Program Manager, Amazon Flex, Flex BOSS Job at Amazon.com Services LLC

 ...DESCRIPTION At Amazon, we're working to be the most Customer-centric company on earth. One customer experience that were constantly...  ...class last mile operation, significantly complimented by Amazon Flex. Amazon Flex works directly with independent contractors called... 

U.S. Customs and Border Protection

Pilot—CBP Air Interdiction Agent Job at U.S. Customs and Border Protection

 ...Air and Marine Operations (AMO), a component of U.S. Customs and Border Protection (CBP), offers skilled Pilots interested in law enforcement an opportunity to work with an elite team of highly trained professionals whose camaraderie, pride, and purpose are hallmarks...