Compliance Officer



Software Engineering, Legal
San Mateo, CA, USA
Posted on Saturday, October 28, 2023

About Us

Pursuit of truth in credit.

By using machine learning to anticipate and manage risk in credit, we’re empowering our partners and lenders to unlock opportunity and access for more borrowers, everywhere.

We strive to be the preferred partner to lending platforms, providing not only access to capital but also underwriting technology capabilities to allow innovative lending platforms to grow their business.

Our firm is made up of 60+ professionals working in San Mateo (HQ) and New York, working in-office on Tuesdays and Thursdays. We are passionate, hard-working, relentlessly-resourceful, impact-focused individuals. We deeply value intellectual curiosity, independence of thought, creative idea generation, empathy, and close collaboration.

The Role

The Compliance Officer is a role designed for an experienced compliance professional to assist in the implementation of our compliance activities and programs. This employee will engage with stakeholders and colleagues across the firm, from Investor Relations, Business Development, Research, Fund and Finance Operations, to People Operations.

What You'll Do

  • Assess the firm’s compliance, regulatory and reputational risk; monitor for compliance with new or amended laws, rules and regulations; design and implement controls, policies, procedures and training; conduct independent testing; investigate, surveil and monitor for compliance risks and breaches; and lead the firm’s responses to regulatory examinations, audits and inquiries
  • Work with the Deputy Compliance Officer to define the requirements for regulatory compliance and develop compliance risk assessment programs according to the annual compliance plan
  • Identify risks and recommend solutions and implementation strategies for compliance issues to management and employees
  • Assist in the compliance training for all employees on organizational policies, and relevant federal/state standards
  • Review and revise compliance policies on a regular basis and coordinate with other departments including internal audit and risk management
  • Guide, and counsel managers and employees, and monitor execution and compliance with compliance strategies, initiatives and action plans
  • Document, maintain and present timely compliance reports and collaborate with senior management of other departments

What We're Looking For

  • A minimum of 5+ years of compliance experience within industries such as asset management and financial services, fintech, compliance consultancy, corporate law, government law and regulatory bodies
  • Working knowledge of the Investment Company Act of 1940 (ICA), IAA, the Securities Act of 1933, the Securities Exchange Act of 1934 and related regulatory requirements
  • Knowledge and application of SEC, FINRA and CFTC/NFA rules and regulations, and other US and non-US regulatory requirements
  • Compliance certification in relevant areas nice-to-have
  • Bachelor’s degree; JD preferred but not required

Additional Information:

  • Expected full-time salary range between $120,000 to $160,000 + bonus + equity + benefits.
  • Advertised and actual salary ranges may differ by geographic area, work experience, education, and/or skill level.

Our Commitment

We foster an environment that welcomes professionals with a diversity of backgrounds and ideas. We value professionals who are thoughtful, innovative, tenacious, and mission-driven. Every member of the team has a major impact on the company's success with visible contributions to the business. We encourage and reward growth, learning, and a solutions-seeking mindset. We offer a competitive salary and opportunity for equity ownership, generous benefits, and an inclusive and collaborative work environment. If you’re excited by the opportunities to create outsized impact as part of a world-class team, we strongly encourage you to apply.

We provide reasonable accommodation for qualified individuals with disabilities and disabled veterans in job application procedures. If you have any difficulty using our online system and you need an accommodation due to a disability, you may use the following alternative email address to contact us about your interest in employment: careers@theoremlp.com. Alternatively, you can contact us at 415-489-0457.

Theorem does not accept unsolicited agency resumes and is not responsible for any fees related to unsolicited resumes.