Chief Compliance Officer

Chief Compliance Officer Olive Partners Management Palo Alto, CA Job Details Full-time $180,000

• $250,000 a year 1 day ago Benefits Health savings account Health insurance Dental insurance 401(k) Flexible spending account Tuition reimbursement Paid time off Vision insurance 401(k) matching Professional development assistance Opportunities for advancement Flexible schedule Retirement plan Qualifications KYC Investment firm experience Teamwork Law Professional ethics Securities & Exchange Commission Documentation tools Securities law compliance support Bachelor's degree Attention to detail Securities law Productivity software Full Job Description Chief Compliance Officer About Olive Partners Management Based in Palo Alto, Olive Partners Management ("OPM" or the "Firm") is the U.

S. venture capital arm of one of largest independent wealth and asset management in Asia. OPM currently manages approximately $1.6 billion in AUM with a primary focus on venture capital investments across growth-stage technology and innovation sectors. This role reports directly to OPM Managing Partners and General Partner and serves as the senior compliance leader for all U.S. operations. It is a hands-on, high-impact position suited to a self-starter who thrives in a lean, entrepreneurial environment and can operate with a high degree of independence while maintaining rigorous institutional standards. Key Responsibilities

• Serve as the named CCO in all SEC filings; lead preparation for and management of regulatory examinations, audits, and inquiries.
• Own all SEC compliance filings and regulatory reporting obligations, including Form ADV, Form PF, Form D, and any other applicable submissions.
• Develop, implement, and maintain a comprehensive compliance program encompassing written policies and procedures, internal controls, compliance training, independent testing, AML/KYC requirements, cybersecurity governance, and recordkeeping obligations.
• Monitor and strengthen internal controls across U.S. operations, including preparing investment compliance memos and operational risk reports for HQ review.
• Lead and oversee the U.S. compliance program; manage day-to-day regulatory matters and serve as the primary liaison between U.S. operations and the HQ compliance and risk teams.
• Design and deliver compliance training programs for U.S. staff on regulatory obligations, firm policies, and emerging regulatory developments.
• Maintain and regularly update the U.S. Compliance Manual, Code of Ethics, Investment Policy Statement, and Operational Policies and Procedures.
• Administer the personal securities trading pre-clearance program; oversee quarterly and annual employee certifications in coordination with third-party compliance technology providers.
• Review and approve all marketing, advertising, and investor-facing materials to ensure accuracy and compliance with applicable SEC regulations and firm disclosure standards.
• Prepare and present compliance-related materials for management review, including fund due diligence packages, conflicts of interest disclosures, and ODD-readiness documentation for institutional investors and allocators.
• Conduct annual compliance program reviews and testing; document findings and drive remediation of identified gaps.
• Serve as the primary U.S. point of contact for HQ risk and compliance teams; escalate material compliance, operational, and risk control matters in a timely and structured manner.
• Monitor evolving U.S. legal and regulatory developments — including SEC rulemaking, FINRA guidance, and relevant state-level requirements — and proactively update the compliance program accordingly.
• Develop and maintain the firm's AI governance framework, including acceptable use policies for generative AI tools, data privacy controls, and employee guidance on AI-assisted workflows in compliance and investment operations.

Qualifications & Requirements Min Requirements:

Bachelor's degree or higher from an accredited university, preferably with a concentration in accounting, finance, law, economics, or public policy. Minimum 7+ years of compliance experience within a registered investment adviser, private equity firm, or venture capital firm; direct SEC-registered RIA compliance experience required. Prior experience serving as a named CCO is strongly preferred. Exceptional attention to detail, sound business judgment, and the ability to translate complex regulatory requirements into practical operational guidance. Highly self-motivated and proactive; demonstrated ability to manage multiple priorities simultaneously and operate independently in a lean team environment with a high degree of accountability. Proficiency in compliance technology platforms and standard productivity tools (MS Office suite); familiarity with compliance management systems (e.g., ComplySci, Smarsh, or equivalent) and DDQ/investor reporting platforms is a plus. Unimpeachable professional ethics, integrity, and judgment; ability to maintain composure and objectivity in high-pressure or sensitive situations. Professional fluency in Mandarin Chinese (spoken and written) is strongly preferred, given ongoing coordination with HQ and the broader OPM team. Must be authorized to work in the United States without sponsorship. Benefits & Perks

• Competitive base salary and performance-based compensation commensurate with experience.
• Collaborative, inclusive team culture with direct access to senior leadership and a meaningful seat at the table.
• Generous PTO and unlimited sick days.
• Significant opportunities for professional growth and career advancement within a growing global platform.
• Comprehensive health, dental, and vision coverage for employees and dependents; 401(k) with immediate company match and no vesting period; FSA/HSA options.
• Catered lunches in office and regular team social events and outings.
• 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 Partners Management is an Equal Opportunity Employer.

Pay:

$180,000.00

• $250,000.

00 per year

Benefits:

401(k) 401(k) matching Dental insurance Flexible schedule Flexible spending account Health insurance Paid time off Professional development assistance Retirement plan Tuition reimbursement Vision insurance

Work Location:

In person