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Compliance Director/Deputy

We are hiring a Compliance Director or Compliance Deputy to manage compliance operations, including continuing review and implementation of Generate’s registration under the Investment Advisers Act of 1940 and other compliance programs of the Company. The mission of this position is to ensure compliance with the policies and procedures of a registered investment advisor in order to minimize legal, regulatory and strategic risks and disruptions to the operations of the Company.

You are a process- and results-oriented person, passionate about the type of work Generate is doing, and looking to apply your experience to help scale a growing business and drive critical internal process efficiencies.

If you have the below experience and capabilities, we’d love to hear from you:

  • A demonstrated passion for, or commitment to, our mission
  • 10+ years’ experience in a compliance role at an SEC-registered investment advisor or one of the US regulatory bodies (SEC/FINRA).
  • Experience with early-stage advisers in the creation and evolution of compliance manuals and related processes and systems, and fostering a compliance culture as the business scales
  • Knowledge of software and technology supporting compliance function
  • Self-motivated, showing initiative
  • Ability to work with team members and teach others who are unfamiliar with SEC compliance
  • Outstanding communication and interpersonal skills, including empathy, intuition, and listening as well as strong writing, editing, and basic design skills
  • Excellent organizational and self-management capability
  • Demonstrated ability to work effectively in a cross functional team
  • Ability to rapidly learn new concepts with minimal formal instruction
  • High level of self-awareness and humility, with excitement about confronting uncomfortable situations or new challenges
  • Intellectual agility and curiosity, superb analytical skills; problem-solving is your default mode
  • Experience in a growth company is preferable
  • Unimpeachable integrity and glowing references
  • Entrepreneurial spirit: flexibility, comfort with risk, recognition that “perfect can be the enemy of the good”
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