Compliance and Risk Manager (download PDF) – Apply Now
Opportunity for Impact
Zeo is a rapidly growing business, and takes a deliberate, detail-oriented and thorough approach to all aspects of our decision making as a firm. This is an opportunity for an individual with the intangibles necessary to excel in a multi-faceted role which impacts all aspects of an investment management business. The Compliance and Risk Manager will have primary responsibility for regulatory compliance, legal and HR (including overlap with aspects of trading operations and marketing). This role is perfect for someone with a compliance, legal or paralegal background looking to expand into a holistic understanding of and involvement in an investment management business. We take an all-hands-on-deck approach in determining how each team member can have the greatest impact on the business, feel most rewarded, and achieve personal and professional growth. The Compliance and Risk Manager should bring an open-mind and a proactive, can-do attitude with the goal of adding value and feeling valued. This role is based in San Francisco and reports directly to the firm’s partnership.
Anticipated responsibilities will include but are not limited to:
- Manage the firm’s regulatory compliance program and calendar;
- Work with business operations manager and external compliance counsel to execute tasks;
- Lead required periodic tests and reviews and interaction with regulators when needed;
- Participate in negotiation of, ensure compliance with, and review existing and prospective legal contracts;
- Conduct periodic assessment of firm’s potential liabilities and necessary insurance coverage;
- Evaluate structural, financial and regulatory alternatives for firm and/or new product development;
- Organize the firm’s human resources efforts and tasks in partnership with business operations manager;
- Formalize the firm’s employee handbook and reconcile with existing compliance documents and policies;
- Perform review of current and alternative employee benefits;
- Research and apply best practices in each domain to ensure Zeo is always prepared; and
- Collaborate with principals and other team members to further the efficiency of Zeo’s business.
Qualifications for Success
- Bachelor’s degree; JD, IACCP, paralegal or another related certification preferred
- Up to 5 years of experience in a compliance or legal/paralegal role focused on investment advisory or investment management; other applicable experience may be considered – “legal mindset” is essential
- Be prepared to share examples of contributions to strategic decisions and/or resourcefulness in bringing strategic decisions to fruition
- Organized and detail-oriented
- Flexible, humble, with a willingness to learn and ability to switch gears quickly
How To Apply
Send an email cover letter and resume to email@example.com with the subject line: “[Insert your own adjective/descriptor] Compliance and Risk Applicant” (e.g. Strategic Compliance and Risk Applicant).