We are seeking a talented, organized and self-starting individual to join the small, high-impact legal team as a Director of Compliance at our growing SEC-registered investment management firm. This is an excellent opportunity to take meaningful ownership of the compliance function at a dynamic firm. This role requires the candidate to thrive in ambiguity, move quickly, and take responsibility for executing work end-to-end. A successful candidate will be equally comfortable diving deep into all aspects of compliance as they are working with every team within the organization including the finance team, investment team, and operations team.
Overall Position Responsibilities
• Enhance and review the firm’s existing compliance program, including updating current firm policies and procedures and ensuring adherence to current regulatory requirements
• Promote and maintain a strong culture of compliance, including ongoing education for firm personnel
• Assist in the preparation of required regulatory filings, including Form ADV, Form PF and other SEC and state filings, as applicable
• Document and maintain various trackers and approval logs related to policies and procedures
• Review and approve the firm’s marketing materials
• Partner closely with our compliance consultant on annual, quarterly, and monthly reviews, including executing testing, and ensuring the firm maintains an effective and well-documented compliance program
• Administer the firm’s Compliance Manual, including personal securities trading reviews, outside business activity approvals, gift & entertainment monitoring and political contribution tracking
• Review investor communications, including LP updates, reporting and data room materials to ensure consistency with regulatory standards and fund documents
• Ensure cybersecurity and IT policies align with current best practices
• Work with various external vendors
• Ensure proper review and annual renewal of all insurance (D&O, property, general liability, workers comp., etc.)
• Work with real estate brokers to negotiate lease, as required
• Other duties as assigned
Requirements
• At least 5 years of experience in compliance consultant industry with exposure to alternative investment firms and increasing responsibilities
• Ability to work on a hybrid schedule, with attendance required on designated in-office days at our SF or LV office and occasional travel
• Excellent communication, problem solving and interpersonal skills
• General understanding of venture capital firms
• Very detail oriented and proactive
• Strong ability to multi-task and juggle priorities
• Very comfortable working independently and alone
• Demonstrated flexibility and creative, entrepreneurial attitude
• Curiosity for constant learning and process improvement/optimization
• University degree or equivalent experience
• JD a plus, but not required
• SEC regulatory experience a plus, but not required
137 Ventures is a venture capital firm that invests in high-growth technology companies through structured liquidity solutions, direct secondaries, and primary financing. Over the last decade, we've built a portfolio of category-leading companies across a range of industries including defense, fintech, logistics, and SaaS. We currently manage over $6 billion in assets. Our investment partners include a mix of seasoned venture capitalists and experienced entrepreneurs.