Venture Capital Compliance Officer

THIS JOB CAN BE FOUND ON OUR EXCLUSIVE JOB BOARD, IT IS NOT A DIRECT ROLE AT AUGMENT JOBS.

Position Overview: We are seeking a detail-oriented and experienced Venture Capital Compliance Officer to join our team. The ideal candidate will ensure that our firm adheres to all relevant regulatory requirements, internal policies, and best practices. This role involves monitoring compliance, managing risks, and advising on legal and regulatory matters pertinent to our venture capital operations.

Key Responsibilities

• Regulatory Compliance: Monitor and ensure adherence to SEC regulations, FINRA rules, and other relevant local and international compliance requirements specific to venture capital.
• Policy Development: Develop, implement, and update compliance policies and procedures to align with current regulations and industry standards.
• Risk Management: Identify potential compliance risks and develop strategies to mitigate them. Conduct risk assessments and audits as necessary.
• Training and Education: Provide training to staff on compliance matters, regulatory changes, and internal policies. Promote a culture of compliance within the organization.
• Reporting and Documentation: Maintain accurate records of compliance activities and prepare reports for internal stakeholders and regulatory bodies. Ensure timely and accurate filing of necessary documentation.
• Advisory Role: Serve as a compliance advisor to senior management and investment teams. Offer guidance on regulatory issues, legal concerns, and best practices.
• External Relations: Liaise with regulatory agencies, auditors, and legal counsel as needed. Manage responses to regulatory inquiries and investigations.
• Monitoring and Review: Continuously review and assess the effectiveness of compliance programs and practices, making improvements where necessary.
  
  

Qualifications

• Bachelor's degree in Finance, Law, Business Administration, or a related field. Advanced degree or relevant certifications (e.g., CCO, CAMS) preferred.
• Proven experience in compliance within the financial services sector, preferably in venture capital or private equity.
• In-depth knowledge of regulatory frameworks relevant to venture capital and private investment.
• Strong analytical skills with attention to detail and the ability to interpret complex regulatory requirements.
• Excellent communication skills, both written and verbal, with the ability to interact effectively with various stakeholders.
• High ethical standards and the ability to handle sensitive information with discretion.
  
  

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