Head of Compliance

Expertise:

Location:

Expertise:

Location:

Compliance

San Francisco Bay Area

Compliance

San Francisco Bay Area

Our client is a product builder, machine learning researcher, investment professional and business leaders determined to create a better way to manage our financial lives. The future of finance is technology—relentlessly user-focused, elegant, bordering-on-magical technology. The team is driven by the opportunity to apply deep tech to help people enjoy more successful financial lives. And they believe they can have fun doing it.

The executives have exclusively retained Solutus Legal to assist in their hunt for a world-class compliance executive. The company is headquartered in Mountain View and the position will be located locally. Some in office presence will be desired at the appropriate time.

This role will be broadly responsible for supporting our client in its mission to rethink the financial industry while ensuring that the company becomes the most trusted and compliant product in its users’ financial lives. You will be the senior executive accountable for all risk and compliance matters, ensuring that the company satisfies its regulatory and risk control obligations as well as managing its risk exposure.

What you’ll be doing:

  • Build a team and culture that always does right by our users and ensures the company becomes the most trusted and compliant product
  • Create, establish, and manage company-wide risk strategies, policies, and frameworks for the company as well as its partnerships
  • Monitor, identify gaps, and ensure compliance with relevant laws, regulations, and policies
  • Partner directly with product, engineering, and operations leads to anticipate future business needs and regulatory obligations – pivoting the roadmap as needed
  • Act as the key liaison with relevant regulatory authorities and auditors

The ideal background:

  • 5-10 years of experience as a compliance professional at an SEC-registered investment advisor or regulator
  • Bachelor’s degree required, JD degree ideal; investment management experience is favorable
  • Experience in a dynamic, fast-paced startup environment is ideal
  • Thorough knowledge of FINRA regulations relating to areas such as account opening, client suitability and supervision
  • Experience implementing processes, controls and compliance activities
  • Deep understanding of high-net-worth client segments
  • Robust understanding of the Investment Company Act of 1940 and the Investment Advisers Act of 1940
  • Experience with testing and performing risk assessments and managing regulatory examinations
  • Experience preparing and filing federal and state regulatory filings and compliance documentation
  • Knowledge of the full range of asset management products and services, including 1940 Act vehicles, private funds and separately managed accounts
  • Extensive experience collaborating with a solid network of strategic partnerships
  • FINRA Series 7, 9/10 (8), 66 (63/65) licenses

For those who want to work with the best and brightest professionals set out to move investing to the next modern level, this is the role for you. Our client and its product are on the frontiers of innovation and are seeking a legal executive who is passionate to be part of it.

This is a fantastic opportunity and Solutus Legal Search is thrilled to be working with the company on an exclusive basis for this search partnership. Interested candidates may contact us at search@solutuslegal.com. Candidates applying directly to the company will be redirected to Solutus for consideration.

Ref. #807-SLS

 

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