About the Company

We are a venture capital firm that supports founders across the business lifecycle from inception to IPO. Since 2018, we have invested over $1B in capital into innovative companies across industries and funding stages. Our senior leadership is based in California, but our team is distributed.

Job Overview

We are a registered investment adviser looking to bring on a compliance lead to help develop and maintain our compliance function alongside our general counsel. This will be a remote-friendly position, with once-per-month travel as needed for in-person team meetings. The ideal candidate is someone who understands the venture capital space, funds, and compliance and regulatory policies related to asset management. We have a tight and hard-charging team; in this role, you will work closely with our general counsel, CFO, and other partners.

The title will reflect the seniority and experience level of the successful candidate; we value aptitude and potential for ramp-up and are willing to invest in someone who can grow into a CCO with a short runway.

About You

1. 6+ years of experience advising on compliance and regulatory matters, either in-house at an investment adviser (preferably an RIA and preferably in the venture/PE space) or at a top-tier law firm in a securities regulatory or investment management practice.
2. Excellent knowledge of rules and regulations applicable to investment advisers.
3. Excellent analytical, project management, and organizational skills.
4. Comfortable handling responsibilities ranging from administrative to managerial, working independently as well as collaboratively.
5. Strong written and verbal communication skills.
6. J.D. or LL.M. from a top-tier law school strongly preferred.

Key Responsibilities

1. Devise, initiate, maintain, and revise compliance and regulatory policies, procedures, controls, and training based on the specific needs of the business and current regulatory requirements.
2. Provide regulatory and compliance advice to our partners and investment team.
3. Work with outside counsel to monitor and implement responses to regulatory developments that impact our businesses.
4. Take the lead on responding to requests from regulators, preparing for regulatory examinations, and carrying out practice exams, testing, and improvements.
5. Coordinate on compliance and regulatory matters, including updating regulatory filings such as Form ADV Parts 1 and 2 and Form PF, maintaining related records, ensuring filings are timely made, and requirements are current.
6. Develop high levels of trust internally to represent the firm with regulators, external stakeholders, and other relationships.
7. Ongoing review of industry and regulatory developments potentially impacting businesses and products.

About Whistler Partners

Matchmakers, Not Headhunters

Whistler Partners is a boutique matchmaking firm focused on counseling the best and brightest attorneys over the course of their careers. We believe that the right move comes from working closely with talent to curate their long-term career paths. When it comes to career advice, what matters is not the size of the agency but the strength of your individual recruiter. We readily admit that we are elite and only work with the best—after all, a little elitism is okay when it comes to your career.

Employers love us because we are picky about whom we represent, and attorneys love us because we get them their dream jobs.