The RoleThe a16z Compliance Team is looking for a Compliance Analyst to join their group and own the regulatory requirements related to the Firm's core compliance needs. This individual will be a cross-functional contributor, working with employees across the firm on highly sensitive matters related to pre-clearance of personal trades, execution of the firm-wide training program, completion of Firm regulatory filings, facilitation of our annual review, and updates and questions regarding the Firm's compliance manual. The role will also include oversight of external compliance consultants. The Compliance Analyst will report directly to the Deputy Chief Compliance Officer.
This role requires an in-office presence 2 days a week in either our Menlo Park or San Francisco, CA office.
To join our team, you should be excited to:- Work collaboratively with other internal teams such as Human Resources, Operations, Finance, and others to build controls to meet regulatory requirements
- Assist in the administration of the Firm's Code of Ethics
- Operationalize customary compliance tasks in order to achieve scale across the program
- Assist in the analysis of potential material non-public information in order to maintain and monitor the Firm's restricted list and information barriers
- Strong collaborator and effective communicator (both verbal and written) across teams and levels of the organization
- Recommend, design and administer regular and firm-wide compliance training
- Identify, monitor and document compliance issues that require follow-up and facilitate the resolution of breaches
Minimum Qualifications- Must have bachelor's degree; Graduate Degree (JD) or equivalent (CFA), a plus
- Must have between 3-5 years of experience in financial services (or consulting or project management in Tech)
- Must have extensive experience working in regulatory compliance with registered investment advisers
- Strong motivation and ability to be a self-starter with a positive outlook and desire to solve problems
- Curiosity and a desire to learn new concepts, processes, products and regulations
- Strong analytical skills with an ability to understand complex processes and workflows
- Sound judgment and an ability to identify and escalate issues effectively and appropriately
- Exceptional organizational skills and a high degree of attention to detail
- An understanding of and strong focus on the mechanics of a control environment, including escalation and risk-related issues
- Ability to thrive in a fast-paced environment, handling multiple tasks simultaneously in a timely and effective manner
- Low ego, high empathy, and the capacity to collaborate effectively with diverse teams
The anticipated salary range for this role is between $134,000 - $156,000, actual starting pay may vary based on a range of factors which can include experience, skills, and scope.
This role is eligible to participate in the a16z carry program and various discretionary bonus programs as well as benefit and perquisite plans including health, dental, vision, disability, life insurance, 401K plan, vacation, and sick leave.
