Partner 16, Compliance Analyst
Core
Own regulatory requirements for a venture capital firm's core compliance needs, including pre-clearance of personal trades, regulatory filings, and restricted list management.
Role type
Compliance Analyst
Builds
Firm-wide compliance controls and training programs
Domain
Financial Services / Venture Capital / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Regulatory compliance experience, risk management, analytical skills, organizational skills, attention to detail, ability to handle multiple tasks
Preferred skills
JD or CFA, experience in financial services or tech consulting
Technologies
N/A
Responsibilities
Pre-clear personal trades, execute firm-wide training program, complete regulatory filings, facilitate annual reviews, update compliance manual, oversee external compliance consultants, analyze material non-public information, monitor restricted lists, document and resolve compliance breaches
Seniority
Mid-level, hands-on IC