Aduro Advisors is looking for bright and talented individuals to join our team working to support top-tier clients in the Venture Capital & Private Equity space. The Head of Compliance will report to the Director of Compliance and work with them to expand this department and service offering to meet the increasing compliance and regulatory obligations of our clients. They will be managing client relationships, executing our mission of practical technical excellence, and overseeing the overall growth and development of their team.

Why Aduro?

We’re not your typical fund administrators. We’re modern, innovative, and backed by deep industry experience, allowing our clients to focus on investing while we handle the details. We pride ourselves on providing our clients with thoughtful and adaptable service while leveraging best-in-class technology.

We thrive in a people-first culture where each team member can impact the success of the business. We do this by investing heavily in training and development programs, providing ample opportunities for growth, and focusing on fostering a culture of collaboration and community.

The Head of Compliance will be responsible for overseeing our compliance service offering for our client base. In-depth knowledge and industry experience will enable you to best support your team and our clients. This is not a single focus role; the Head of Compliance will balance the needs of our clients with the needs of their team and provide business-oriented solutions. Ideal candidates are technically proficient, thoughtful leaders who believe in investing in their team so that their team can provide top-notch service to our clients. 

Here is the type of work you will do:

• Oversee the delivery of Aduro’s Compliance offering
• Design, implement and monitor compliance processes 
• Build, supervise, train and coach a team of Compliance professionals at various levels
• Help drive revenue by building new relationships and cultivate existing relationships
• Identify compliance obligations related to Aduro’s client base (Fund Managers who are Exempt Reporting Advisors and Registered Investment Advisors) by staying up to date on emerging compliance requirements and issues.
• Investigate and act to resolve any compliance matters identified by controls and processes
• Communication with various clients, legal counsel, and regulatory authorities, as needed
• Coordinate initial compliance reviews and ongoing monitoring activities
• Ensure adequate compliance documentation and retention is maintained to comply with industry best practices
• Leverage technology solutions for compliance processes in order to promote efficiency and protect Aduro and our clients from legal and regulatory risk
• Collaborate with other departments (including Service Teams, Onboarding team, Investor Services, etc) as needed to ensure compliance issues are addressed and to strengthen the compliance program through monitoring and testing of controls.
• Develop and provide annual and periodic training to the wider Aduro service teams on: compliance policies and procedures, emerging compliance issues and related matters. 
• Manage special projects, when requested
• Advising the Aduro Leadership team on Compliance matters affecting our client base

The salary range for the Head of Compliance position is $150,000-$170,000. Salary is determined based on current market data and candidate experience level. Employees in the Head of Compliance role are eligible to participate in the Aduro Bonus Program and the stock options program.

Perks of Working at Aduro:

• Competitive salary 
• Health/Dental/Vision Insurance
• Life Insurance
• Short-Term Disability
• Long-Term Disability
• Paid Time Off (PTO)
• 401k with Employer Match
• Company-wide social events and programs
• Dog-friendly office in downtown Denver

• You have 8+ years of compliance experience in the alternative asset industry; Venture Capital and/or Private Equity experience is preferred
• Knowledge of the U.S. Securities Act of 1933, Investment Advisors Act of 1940 and Investment Company Act of 1940 and broad knowledge of other federal and state securities laws and regulations applicable to alternative asset funds and investment advisers.
• Experience with the compliance requirements of offshore funds (eg Cayman Islands) is preferred
• Understanding of and experience overseeing compliance with the Foreign Corrupt Practices Act, anti-money laundering laws, and regulatory regimes of regulators such as the SEC and FINRA.
• Strong professional verbal and written communication skills and be able to draft policies and procedures that meet regulatory requirements and align with business needs and objectives. 
• You are able to respond effectively to sensitive inquiries or complaints, and maintain confidentiality at all times 
• You have a passion for mentoring and coaching team members and take ownership in their development
• You have experience in a client-facing role leading engagements on multiple clients 
• You are naturally resourceful, driven and have strong problem-solving skills
• You see the value in providing excellent client service, being thoughtful and know the details make the difference
• Thrive independently and as part of a team
• You are proficient in compliance systems and processes
• You are comfortable with software systems including G-suite, Microsoft Office, Box, Slack 

You should possess the following

• Minimum of a Bachelor's degree from a four-year college or university. Advanced degree in law or business preferred.
• Compliance certifications such as CAMS, CRCM, CRCP, FINRA Series highly preferred.
• 5 + years of supervisory experience
• Ability to multi-task and meet deadlines
• Strong work ethic
• Excellent verbal and written communication skills
• Strong organizational and analytical skills