Work at a Portfolio Company

Compliance Officer - (SEC Registered Investment Advisor)



Posted on Saturday, January 20, 2024
Founded by two ex-Coinbase employees and backed by top investors including Andreesen Horowitz, Coinbase, IDEO, and Kindred Ventures, Goldfinch is a private credit platform that is using the blockchain to empower financial inclusion and investor access around the world.
Our vision is to connect the world’s capital to the world’s growth by building a global cashflow marketplace, enabling anyone to bring their earning potential on-chain and access funding from anyone in the world. Since announcing the protocol in January 2021, Goldfinch has issued over $120M of loans to wholesale lenders who have in turn helped Goldfinch reach +2M end-borrowers with zero losses. Goldfinch has scaled to four continents, covering +20 different countries, and we’re just getting started.
The Compliance Manager will be responsible for the day-to-day operation of Heron Finance’s compliance program, including development and implementation of policies and procedures, management of regulatory examinations and audits, and internal training. The Compliance Manager will partner with key stakeholders across the organization to ensure that Heron Finance operates within the bounds of all applicable laws, regulations, and internal policies at the highest standard. The Compliance Manager will report directly to the Chief Compliance Officer.
We expect you to be a self-starter, who is hands-on, and successfully collaborates with all areas of the business such as product, credit, and operations. In addition, we expect you to stay up to date with compliance related developments that affect RIAs.
This role is full time, open to candidates who live in the United States.

What you’ll be doing (i.e. job duties):

  • Monitor business processes and perform routine audits to identify potential compliance risk
  • Implement new policies, procedures, systems, or controls designed to reduce risk
  • Work directly with the Chief Compliance Officer (“CCO”) to oversee all aspects of complying with the Investment Advisors Act of 1940 as well as compliance with the related rules issued by the US Securities and Exchange Commission (“SEC”)
  • Manage reviews of a variety of marketing materials including social media, email communications, client presentations, and other media
  • Manage the drafting and submission of Forms ADV, ADV-E And any other required SEC filings
  • Manage the production and completion of the annual CCO report on compliance
  • Coordinate with the Heron Finance Compliance and Legal teams to review company-wide policies to ensure they do not conflict with the SEC rules for investment advisors
  • Manage external audits and examinations by the SEC and other auditors, as needed
  • Manage the compliance training program for advisory personnel
  • Monitor and approve certain employee actions, such as outside business activity and securities trading activity
  • Stay current on proposed SEC rules for investment advisors and ensure that Heron Finance timely adopts any new rules

What we look for in you (i.e. job requirements):

  • 7-10 years compliance experience
  • 5+ years experience working at an SEC-regulated investment advisor
  • Working knowledge of the federal securities laws and regulations
  • Experience with managing regulatory examinations
  • Excellent written and verbal communication skills

Nice to haves:

  • JD preferred
  • Series 14 certification strongly preferred
  • An interest in the private credit
  • Curiosity about blockchain technology and a willingness to learn

Compensation / Benefits:

  • Health, Dental, Vision and Life Insurance covered 99% for employees and partial for Dependents
  • 401k plan
  • Salary Range: Base Comp + Competitive equity & governance token incentives
  • 150-200k Base
  • Team weeks and other industry travel opportunities
We aim to hire great people from a wide variety of backgrounds - not just because it’s the right thing to do, but because it makes our company stronger. People from all across the globe and all walks of life participate in our protocol, and we'd like our team to reflect that. If you share our interest in DeFi and our passion for promoting financial inclusion, we'd love to have you on the team.