Pantera Capital (www.panteracapital.com) is one of the oldest and largest institutional investors in the blockchain industry, with more than $5 billion of assets under management (as of March 31, 2022) across its venture capital and hedge fund complex.
The firm is seeking an experienced Chief Compliance Officer (CCO) to support and build a best-in-class compliance framework. You will serve as a key advisor to our management team, demonstrate courageous integrity in identifying areas for improvement to our existing compliance and controls frameworks, and implement and monitor an investment advisory compliance program that meets regulatory requirements and expectations and supports our fund businesses.
Full Job Description
Ideally, we are looking for an entrepreneurial CCO with at least 5-7 years of experience supporting firms within the financial services or blockchain industries. Our ideal CCO would have fluency in the regulatory compliance frameworks applicable to registered investment advisors (RIAs) and experience operating at the intersection of compliance, business (investment), legal, operations (front, middle, and back office), and finance (accounting) functions.
Our CCO will be a key part of the management team and privy to and trusted with highly confidential information and matters. He or she is expected to routinely interact with executives, clients, service providers, consultants, and vendors. We pride ourselves on operating in a team-oriented environment, where the CCO will be appreciated and valued and considered an integral part of the management team. We expect the CCO to challenge executive decisions and in turn, to accept challenges from his or her colleagues at the firm.
We offer a generous compensation package.
- Our CCO will be primarily responsible for administering, reviewing, and improving all the aspects of our compliance and controls frameworks. Examples of his or her responsibilities would include the following:
- Reviewing, establishing, advancing, monitoring, and enforcing the firm’s compliance programs to reasonably ensure that the firm remains, at all times, in compliance with regulatory requirements, including applicable requirements under the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, the Commodity Exchange Act, and non-U.S. directives and laws.
- Advocating for a strong culture of compliance with senior management and employees and productively managing outside compliance partners and vendors.
- Administering regulatory filings, including leading preparation and filing of Form ADV, Form PF, and exemptive and notice filings for our venture capital and hedge funds.
- Overseeing our fund administrators and reasonably ensuring that onboarding processes for our limited partners is performed in compliance with requirements and expectations, including anti-money laundering and sanctions requirements, accredited investor and qualified purchaser requirements, and audit requirements.
- Providing proactive compliance support and training and reasonably ensuring all regulatory and policy requirements are well understood, communicated, monitored, and enforced.
- Developing, reviewing, and testing internal controls to promote an effective controls environment.
- Performing risk assessments and prioritizing compliance activities in areas identified as having the highest levels of legal, regulatory, business, or reputational risk to the firm.
- Collaborating with the management team and outside service providers to develop policies, procedures, and controls or remediate findings in internal and external reviews, examinations, or audits.
- Managing regulatory change initiatives to implement new or changing regulatory requirements or expectations and serving as the primary liaison during examinations or other regulatory interactions.
- Our ideal CCO candidate would have some combination of the following:
- Bachelor's Degree (Juris Doctor preferred but not required)
- Advanced knowledge of compliance frameworks and best practices and a minimum 5 years of compliance, legal, or operational experience relating to the financial services or blockchain industries.
- Advanced knowledge of (1) requirements under the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, the Commodity Exchange Act, or non-U.S. directives and laws or (2) of laws applicable to blockchain technologies or digital assets, required.
- Low-ego, open-minded, and entrepreneurial personality with excellent verbal and written communications skills sufficient to competently interact with all levels of firm.
- Ability to maintain grace under pressure and manage short deadlines and multiple projects in a high-growth, fast-paced, demanding environment.
- Ability to treat highly confidential information with appropriate discretion.
- Some fluency in venture capital and hedge fund structures, mechanics, or accounting and interest in blockchain technologies or digital assets preferred.
Interested candidates should submit a current resume or CV. We aim to contact candidates within five business days of submission.
Please note that we will conduct a background and reference check prior to the commencement of your employment.
Job Type: Full-time
•Paid time off
•Monday to Friday