Compliance/Risk Control Manager
Core
Oversee US compliance program, manage regulatory issues, and act as appointed CCO for SEC filings and audits for a venture capital firm.
Role type
Senior IC compliance/risk control manager
Builds
US compliance program, regulatory filings, internal controls, and risk management processes
Domain
Venture Capital / Asset Management
Required skills
SEC regulatory knowledge, compliance policy development, internal controls design, AML compliance, regulatory reporting, stakeholder communication, Mandarin fluency
Preferred skills
VC/PE industry experience, risk control coordination, independent testing, marketing material review
Technologies
MS Office (Excel, Word, PowerPoint)
Responsibilities
Oversee US compliance program and manage day-to-day regulatory issues; Act as appointed CCO for SEC filings and oversee regulatory audits; Develop and maintain compliance policies, procedures, and internal controls; Provide training and guidance to staff on compliance matters; Monitor internal controls and write investment memos for HQ; Coordinate with HQ risk control team on US compliance issues; Review and approve promotional and marketing materials; Perform regular compliance annual testing.
Seniority
Senior, hands-on IC
