Senior Compliance Officer Job at Taylor Root, Menlo Park, CA

QkxmdXVpNjRXVnlxaDgrTXNla3FiZmY2Qmc9PQ==
  • Taylor Root
  • Menlo Park, CA

Job Description

Senior Compliance Officer – Alternative Asset Management

Representing a well-established and growing alternative asset manager with over $20B AUM, we are proud to be leading the search for a Senior Compliance Officer. This newly created role offers the opportunity to work closely with the General Counsel/Chief Compliance Officer and lead key compliance initiatives across U.S. and international operations.

Highlights:

  • High visibility across teams and leadership.
  • Hybrid schedule (4 days in-office) with strong work/life balance and competitive compensation.

Key Responsibilities:

  • Conduct compliance reviews (e.g., personal trading, investment restrictions, vendor management, social media, political contributions).
  • Develop and implement compliance policies, procedures, and testing protocols.
  • Prepare regulatory filings (Form ADV, Form 13F, Form PF).
  • Review and update marketing materials and support investor relations on compliance matters.
  • Support IR on all compliance matters relating to LP inquiries.
  • Oversee code of ethics, including restricted list monitoring and personal trade preclearance.
  • Handle special projects and support broader compliance initiatives.

Qualifications:

  • Minimum 5 years of compliance experience in alternative asset management.
  • Bachelor’s degree required; JD is a strong plus.
  • Strong attention to detail, interpersonal skills, and ability to mentor junior team members.

As a specialist Legal, Risk, and Compliance search and recruitment firm, we understand the strategic value this role brings to a scaling investment platform. This position offers the opportunity to help shape the evolution of an in‑house compliance function. This is an excellent opportunity for a hands‑on and collaborative compliance professional.

The SR Group (US), Inc. is acting as an Employment Agency in relation to this vacancy.

Please note that your personal information will be treated in accordance with our Privacy Policy .

Job Tags

Permanent employment, Work at office

Similar Jobs

Pacer Group

Accounts Payable Clerk Job at Pacer Group

 ...Job Title: Accounts Payable Clerk Location: Remote Duration: 3 Months (Potential Extension/Conversion) Schedule: 8:30am 4:30 pm Monday Friday Pay: 22/hr Note: Candidates will be required to use their own equipment for this role. Job Responsibilities... 

RightStone

Warehouse Order Picker Job at RightStone

 ...We are looking for a dedicated Warehouse Order Picker in Pasadena Texas 77507with$19.00/hrpayfor a12monthcontract,temp role. In this role, you will be responsible for accurately selecting, preparing, and staging products for shipment in a fast-paced warehouse... 

Universal Music Group

Video Editor - Philadelphia, 19109 Job at Universal Music Group

 ...Post Production leadership, the Video Editor ensures that every edit balances storytelling, pace, and brand integrity while meeting technical...  ...digital-first platforms. ~ Familiarity with color correction, audio cleanup, and basic sound design workflows. ~ Ability to manage... 

FlightSafety International

Instructional Designer Job at FlightSafety International

 ...Centers and training locations in the United States, Canada, France and the United Kingdom. Purpose of Position The Pilot Instructional Designer (ID) (Pilot and Mx) is responsible for providing instructional design strategies and templates related to designing,... 

Hyatt Hotels

ALiLA Marea May 11, 2026 Job Fair Job at Hyatt Hotels

 ...hospitality, elevated luxury, and breathtaking ocean views-this is it. Join us for a day of career exploration, on-the-spot networking with hiring managers, and a closer look at what makes life and work at Alila Marea so special. Whether you're just starting your...