Sec Compliance Jobs (NOW HIRING)

About Olive Asset Management (“WE” – wonder who we are?)

Based in Palo Alto, Olive Asset Management, is a venture capital arm of the biggest asset management company in China: Noah group holding Ltd. The whole Olive Asset is currently managed about $30B AUM globally. Olive Asset US is currently managed about $1.6b AUM and mainly focused on venture capital investments. This role will bereporting to CEO of Olive US. This is a hands-on role for someone who is self-motivated and has the ability and desire to work for a successful firm as a team player in a small work environment.

Job Description and Responsibilities (“HOW” – some of the great and exciting learning opportunities you will be involved in!)

1. Oversee US compliance program and manage any day-to-day regulatory issues and communicate any compliance requirements with HQ.
2. Act as our appointed CCO in SEC filings and oversee regulatory audits and exams if any.
3. Responsible for all SEC compliance filings and reporting (Form ADV, Form PF etc.)
4. Develop and/or direct the formulation and maintenance of compliance policies and procedures including related internal controls, compliance training, independent testing, AML and recordkeeping requirements.
5. Monitor Olive US internal controls policies and procedures including writing internal control investment memos for HQ.
6. Provide training and guidance to Olive US staff on compliance matters and emerging regulations.
7. Maintain US Compliance Manual, Code of Conduct, Operation/Investment Policy and Procedures
8. Assist with outside third party in maintaining personal security trading system and quarterly and annual certifications.
9. Review, approve, and control all promotional and marketing materials developed in relation to the products distributed.
10. Prepare and present materials relating to product due diligence, policies and procedures, and conflicts of interest, for review and deliberation by the management team.
11. Perform regular compliance annual testing.
12. Point person to coordinate with HQ risk control team/compliance team regarding any US compliance/operation/risk control issue.
13. Monitor new legal and regulatory developments and update policy and procedures accordingly.
14. Any operational projects as assigned.

Qualifications (“WHAT” – what we are looking for and what you can bring!)

Min Requirements:

1. Bachelor’s degree from creditable/reputable universities with a concentration in accounting, finance, regulation, public policy, or economics.
2. Must have 5+ years in compliance or compliance related experience; experience with VC/PE would be a huge plus.
3. Must have strong attention to detail and good business sense.
4. Must be self-motivated and proactive to improve operational and accounting efficiency, with the ability to multi-task and balance priorities while maintaining a high level of attention to detail.
5. Strong computer skills including proficiency in MS Office products, in particular, Excel/Word/PowerPoint.
6. Top-notch business ethics and ability to maintain positive composures/attitude under pressure.
7. Must be self-motivated and proactive to improve operational and accounting efficiency, with the ability to multi-task and balance priorities while maintaining a high level of attention to detail.
8. Must be fluent (oral/read) in Mandarin Chinese.
9. Must have US work authorizations.

Benefits & Perks (“WHY” – It’s not just a job but a career)

1. Competitive compensation package and opportunity to join a fast-growing team/firm.
2. Family-like working environment with a highly professional, inclusive team.
3. Generous PTO/Time-Off to refresh/re-charge with unlimited sick days.
4. Lots of Opportunity to learn & grow & advance vertically.
5. Competitive and comprehensive tech-firm like health/retirement benefits 401K matching, no vesting period, FSA, coverage for the whole family etc.)
6. Catering lunch (when in office) and fun social events/outings
7. Annual Offsite/Company sponsored event.

We are committed to employment practices that ensure that employees and applicants for employment are provided with equal opportunities without regard to race, color, national origin, ancestry, sex, age, religion, physical or mental disability, medical condition, veteran status, marital status, pregnancy, sexual orientation, gender identity, gender expression, genetic information or any other factor that is not related to the position.Olive Asset Management U.S. is an Equal Opportunity Employer.

Olive Asset Management 总部位于美国加利福尼亚州帕洛阿尔托（Palo Alto），是中国最大的资产管理公司之一——Noah Holdings 诺亚控股旗下的风险投资业务平台。

目前，Olive Asset Management 在全球管理资产规模（AUM）约 300 亿美元，其中美国团队管理资产规模约 16 亿美元，主要专注于风险投资（Venture Capital）领域。

本职位将直接向 Olive Asset Management 美国公司 CEO 汇报。这是一个需要亲力亲为（hands-on）的岗位，我们希望寻找一位积极主动、能够在小而高效的团队环境中与优秀团队成员紧密合作，并助力公司持续发展的专业人士。

1. 负责美国合规体系的整体管理，处理日常监管事务，并与总部沟通相关合规要求；
2. 作为公司向美国证券交易委员会（SEC）备案的首席合规官（CCO），负责监管检查及审计工作（如适用）；
3. 负责所有 SEC 合规申报及报告工作（包括 Form ADV、Form PF 等）；
4. 制定、完善并监督执行合规政策与流程，包括内部控制、合规培训、独立测试、反洗钱（AML）及档案保存要求；
5. 监督 Olive US 内部控制政策与流程，并为总部撰写内部控制及投资相关备忘录；
6. 就合规事项及最新监管动态向美国团队提供培训与指导；
7. 维护美国合规手册（Compliance Manual）、行为准则（Code of Conduct）以及运营/投资政策与流程；
8. 协助第三方服务机构维护员工个人证券交易监控系统，并完成季度及年度合规认证；
9. 审核、批准并监督所有与产品推广及市场营销相关的宣传材料；
10. 准备并向管理层汇报产品尽职调查、政策流程及利益冲突管理等相关材料；
11. 执行年度合规测试及检查工作；
12. 作为美国团队与总部风险控制团队、合规团队之间的主要联络人，协调处理美国地区的合规、运营及风险控制事项；
13. 跟踪最新法律法规变化，并及时更新相关政策与流程；
14. 完成公司安排的其他运营项目及相关工作。

1. 拥有知名院校本科及以上学历，会计、金融、监管、公共政策或经济学等相关专业优先；
2. 具有 5 年以上合规或相关领域工作经验；拥有 VC/PE（风险投资/私募股权）行业经验者优先；
3. 具备高度责任心和细致严谨的工作态度，同时拥有良好的商业判断能力；
4. 工作积极主动，能够持续优化运营及财务管理效率；具备良好的多任务处理能力，能够在兼顾多个优先事项的同时保持高度准确性；
5. 熟练使用 Microsoft Office 办公软件，尤其是 Excel、Word 和 PowerPoint；
6. 具备优秀的职业操守，在压力环境下仍能保持专业、积极的工作态度；
7. 具备主动发现问题并推动改进的能力，能够提升运营及财务流程效率；
8. 普通话流利（听、说、读能力优秀）；
9. 必须拥有在美国合法工作的资格（US Work Authorization）。

1. 提供具有市场竞争力的薪酬待遇，以及加入高速成长团队与公司的机会；
2. 温暖、开放、专业且包容的团队文化，营造如家人般的工作氛围；
3. 丰厚的带薪休假（PTO）政策及无限病假（Unlimited Sick Leave）；
4. 丰富的学习、成长及职业晋升机会；
5. 具有科技公司水平的综合福利体系，包括：
6. 401(k) 退休金计划及公司匹配供款；
7. 无归属期（No Vesting Period）；
8. FSA 灵活支出账户；
9. 覆盖员工及家庭成员的医疗保障等；
10. 办公期间提供午餐福利，并定期组织团队活动及社交聚会；
11. 公司年度团建及外出活动（Annual Offsite）。

Olive Asset Management U.S. 致力于提供公平、公正的就业机会。无论种族、肤色、国籍、血统、性别、年龄、宗教信仰、身体或精神残疾、医疗状况、退伍军人身份、婚姻状况、怀孕情况、性取向、性别认同、性别表达、遗传信息或任何与岗位无关的个人因素，公司均不会在招聘及雇佣过程中进行歧视。 Olive Asset Management U.S. 是一家平等机会雇主（Equal Opportunity Employer）。