Aduro Advisors · 1 day ago
Head of Compliance
United States
Full-time
Remote
Senior Level, Lead/Staff
$150K/yr - $170K/yr
8+ years exp
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Responsibilities
Oversee the delivery of Aduro’s Compliance offering
Design, implement and monitor compliance processes
Build, supervise, train and coach a team of Compliance professionals at various levels
Help drive revenue by building new relationships and cultivate existing relationships
Identify compliance obligations related to Aduro’s client base (Fund Managers who are Exempt Reporting Advisors and Registered Investment Advisors) by staying up to date on emerging compliance requirements and issues.
Investigate and act to resolve any compliance matters identified by controls and processes
Communication with various clients, legal counsel, and regulatory authorities, as needed
Coordinate initial compliance reviews and ongoing monitoring activities
Ensure adequate compliance documentation and retention is maintained to comply with industry best practices
Leverage technology solutions for compliance processes in order to promote efficiency and protect Aduro and our clients from legal and regulatory risk
Collaborate with other departments (including Service Teams, Onboarding team, Investor Services, etc) as needed to ensure compliance issues are addressed and to strengthen the compliance program through monitoring and testing of controls.
Develop and provide annual and periodic training to the wider Aduro service teams on: compliance policies and procedures, emerging compliance issues and related matters.
Manage special projects, when requested
Advising the Aduro Leadership team on Compliance matters affecting our client base
Qualification
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Required
8+ years of compliance experience in the alternative asset industry; Venture Capital and/or Private Equity experience is preferred
Knowledge of the U.S. Securities Act of 1933, Investment Advisors Act of 1940 and Investment Company Act of 1940 and broad knowledge of other federal and state securities laws and regulations applicable to alternative asset funds and investment advisers.
Understanding of and experience overseeing compliance with the Foreign Corrupt Practices Act, anti-money laundering laws, and regulatory regimes of regulators such as the SEC and FINRA.
Strong professional verbal and written communication skills and be able to draft policies and procedures that meet regulatory requirements and align with business needs and objectives.
You are able to respond effectively to sensitive inquiries or complaints, and maintain confidentiality at all times
You have a passion for mentoring and coaching team members and take ownership in their development
You have experience in a client-facing role leading engagements on multiple clients
You are naturally resourceful, driven and have strong problem-solving skills
You see the value in providing excellent client service, being thoughtful and know the details make the difference
Thrive independently and as part of a team
You are proficient in compliance systems and processes
You are comfortable with software systems including G-suite, Microsoft Office, Box, Slack
Minimum of a Bachelor's degree from a four-year college or university.
5 + years of supervisory experience
Ability to multi-task and meet deadlines
Strong work ethic
Excellent verbal and written communication skills
Strong organizational and analytical skills
Preferred
Venture Capital and/or Private Equity experience is preferred
Experience with the compliance requirements of offshore funds (eg Cayman Islands) is preferred
Advanced degree in law or business preferred.
Compliance certifications such as CAMS, CRCM, CRCP, FINRA Series highly preferred.
Benefits
Health/Dental/Vision Insurance
Life Insurance
Short-Term Disability
Long-Term Disability
Paid Time Off (PTO)
401k with Employer Match
Company-wide social events and programs
Dog-friendly office in downtown Denver
Company
Aduro Advisors
Aduro Advisors is the premier fund administrator, preferred by Fund Managers for its purpose-built software platform, FundPanel.io, and highly-trained service team led by industry veterans.
201-500 employees
Funding
Current Stage
Growth StageLeadership Team
Jess Brooking
Partner & Chief Operating Officer
Braughm Ricke
Founder
Company data provided by crunchbase
