Senior Compliance Associate

Job Overview

Our client, a growing venture capital firm with over $40B in AUM is seeking a compliance officer to work closely with the CCO on a lean team of 3. This newly created role is an excellent opportunity to learn from an exceptional CCO and to join an organization that invests across leading technology, software and internet companies.

Highlights

• Unique opportunity to join a lean, and visible, compliance team at a top-tier investment firm with significant AUM and a strong brand.
• Opportunity to take on a broad, strategic compliance role rather than a narrow employee compliance function, with high visibility and interaction across investment, legal, IR, operations, and leadership teams.
• Opportunity to help build out processes and continue to shape an evolving, growing compliance program.
• Firm boasts an inclusive, open, fun culture that encourages communication, learning opportunities, and an overall positive employee experience.

Key Responsibilities

• Design and implement compliance policies, procedures and related controls and testing protocols
• Prepare and review regulatory filings including Form ADV and Form PF, and collaborate with the CCO on the annual review process.
• Identify opportunities to leverage AI, automation, and technology to improve compliance operations and workflows.
• Assist with monitoring restricted lists, personal trading activity, and potential MNPI-related matters.
• Support expert network and paid consultant review processes, including diligence, approvals, and documentation.
• Support onboarding, training, certifications, and ongoing compliance education initiatives.
• Assist with reviewing investor communications, marketing materials, DDQs, website content, and other external-facing materials.

Qualifications

• 5 + years of relevant experience in compliance ideally in the private equity or venture capital space.
• Strong organizational, written, and verbal communication skills with exceptional attention to detail.
• Proactive, solutions-oriented mindset with an interest in technology, AI innovations, and process improvement.