Compliance Officer
Updated on 5/16/2023
Burlingame, CA, USA • New York, NY, USA
Experience Level
Desired Skills
  • A minimum of 5+ years of compliance experience within industries such as asset management and financial services, fintech, compliance consultancy, corporate law, government law and regulatory bodies
  • Working knowledge of the Investment Company Act of 1940 (ICA), IAA, the Securities Act of 1933, the Securities Exchange Act of 1934 and related regulatory requirements
  • Knowledge and application of SEC, FINRA and CFTC/NFA rules and regulations, and other US and non-US regulatory requirements
  • Compliance certification in relevant areas nice-to-have
  • Bachelor's degree; JD preferred but not required
  • Advertised and actual salary ranges may differ by geographic area, work experience, education, and/or skill level
  • Assess the firm's compliance, regulatory and reputational risk; monitor for compliance with new or amended laws, rules and regulations; design and implement controls, policies, procedures and training; conduct independent testing; investigate, surveil and monitor for compliance risks and breaches; and lead the firm's responses to regulatory examinations, audits and inquiries
  • Work with the Deputy Compliance Officer to define the requirements for regulatory compliance and develop compliance risk assessment programs according to the annual compliance plan
  • Identify risks and recommend solutions and implementation strategies for compliance issues to management and employees
  • Assist in the compliance training for all employees on organizational policies, and relevant federal/state standards
  • Review and revise compliance policies on a regular basis and coordinate with other departments including internal audit and risk management
  • Guide, and counsel managers and employees, and monitor execution and compliance with compliance strategies, initiatives and action plans
  • Document, maintain and present timely compliance reports and collaborate with senior management of other departments
Desired Qualifications
  • Expected full-time salary range between $120,000 to $160,000 + + equity + benefits

11-50 employees

Technology underwriting & lending firm
Company Overview
Theorem’s mission is to bring access to credit to those who need it by connecting datasets to the people they represent. The company builds infrastructure to power their credit underwriting platform and funding network powered by machine learning to help their partners grow lending businesses.
  • Competitive salary, bonuses, and equity
  • Covered medical, dental, vision, & life insurance
  • Unlimited vacation days
  • Parental leave
  • 401k contributions
  • Paid team offsites and catered meals
  • Opportunities for remote work
  • Training resources & conferences reimbursed
  • Equity plans
  • Referral bonuses
  • Sponsorships available
Company Core Values
  • Restless
  • Insightful
  • Accountable