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

TWV0QmovYmp4ZnRQZEU3VmpJays5MGRFamc9PQ==
  • 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

CareHarmony

Remote - Licensed Practical Nurse - LPN - LVN - Intake Coordinator Job at CareHarmony

 ...CareHarmonys Care Coordinators (LPN) (LVN) work comprehensively with providers to deliver value-based care management initiatives for...  ...patients. CareHarmony is seeking an experienced Licensed Practical Nurse to work 100% Remote LPN Nurse (LPN) (LVN) with at least 3 years... 

Jennifer Miller Jewelry

Retail Management & Sales Team Members Job at Jennifer Miller Jewelry

 ...day sales, store operations, and people management. Act as the manager on duty when needed. Requirements: 3+ years of luxury retail experience required, at least 2 years in a supervisory role for all management candidates. 1+ years of luxury retail experience... 

Shift Varied

UNIT CLERK, Emergency Dept, Part Time, Varied Schedule Job at Shift Varied

 ...Northern Nevada Medical Center's tradition of providing quality healthcare in a comfortable, accessible environment means peace of mind...  ...care. Learn more at northernnevadahealth.com This Unit Clerk opportunity is part time at 24 hours per week, offers full... 

Endeavor Schools, LLC

Lead Teacher - Infant Toddler Job at Endeavor Schools, LLC

Job Details:Build a Career with Meaning and Enhance Your FutureCome join us at Columbia Academy Thunder Hill campus as our Qualified Infant Toddler Teacher!At Columbia Academy, our educators brighten children's lives every day while creating a bright future for themselves...

Positive Impact Dental Alliance

Hygiene Assistant Job at Positive Impact Dental Alliance

 ...Rock Your Career and Make SmilesBrighter withPositive Impact Dental! Are you ready to join a team that's transforming lives, one...  ...Positive Impact Dental is looking for an experienced and enthusiasticHygiene Assistantwho's passionate about patient care, eager to grow,...