• Deputy Chief Compliance Officer

    Job Locations US-CA-San Francisco
    Job ID
    2018-1054
    Category
    Legal/Compliance
    Type
    Regular Full-Time
  • Description

    FIRM OVERVIEW:


    Hall Capital Partners is an independent, privately owned, SEC-registered investment advisor that builds and manages multi-asset class global investment portfolios for families, endowments, and foundations. As of December 31, 2017 we direct more than $32 billion of investment assets for our clients and a platform of pooled vehicles. Founded in 1994, our firm has approximately 160 employees that operate from offices in San Francisco and New York. We are typically responsible for investment strategy, asset allocation, and portfolio construction for globally diversified investment portfolios. The firm has a 23-year record of building and managing global investment portfolios and has established a strong reputation as a successful investor and partner. For many clients, we contribute significantly to other aspects of financial strategy, such as managing and diversifying concentrated public stock positions or advising on and facilitating wealth transfer and philanthropic strategies. We also manage private pooled vehicles. Our culture is centered on integrity, intellectual rigor, curiosity, client focus, performance, and fulfillment of our fiduciary responsibilities.


    HALL CAPITAL PARTNERS IS COMMITTED TO ATTRACTING, RETAINING, ENGAGING, AND DEVELOPING A POOL OF TALENT THAT IS DIVERSE ALONG MANY DIMENSIONS. WE SEEK TO LEVERAGE THESE DIVERSE EXPERIENCES, BACKGROUNDS AND VIEWPOINTS TO BEST SERVE THE NEEDS OF OUR CLIENTS

     

    POSITION TITLE:


    Deputy Chief Compliance Officer

     

    This is an excellent opportunity to join a world class organization whose values of RESULTS, INTENSITY, TRANSPARENCY, AND CREATIVITY speak to the culture of our organization.

     

    This role will report to Hall Capital’s General Counsel/Chief Compliance Officer and have significant day-to-day responsibility for managing the firm’s compliance program. The ideal candidate must have significant and broad in-house experience in a compliance role with a sizable SEC-registered investment adviser; will have private fund experience; and will have sound reasoning ability to quickly grasp business, legal and compliance complexities.

     

    RESPONSIBILITIES OVERVIEW:


    • Significant day-to-day responsibility for management and ongoing evolution of the firm’s compliance programs, under the general supervision of General Counsel/Chief Compliance Officer.
    • Develop, implement, and enforce compliance policies and procedures, including in response to new or amended laws and regulations in the US and offshore.
    • Prepare and/or supervise preparation of all major compliance-related projects and filings, including but not limited to updates of Form ADV, Form PF, compliance manual and code of ethics, as well as the annual compliance review, annual employee certifications, and filings with other government agencies and regulators
    • Review and edit marketing materials, RFPs, disclosures and web site content
    • Maintain and monitor all compliance-related efforts, rules, guidelines and restrictions, including in connection with portfolio management and related to the pooled vehicles;
    • Supervise and/or participate in maintenance and administration of the compliance calendar, including creation of tests and testing compliance with firm policies and procedures and follow-up on outstanding issues. Address results of testing as well as any compliance-related issues
    • Supervise and/or participate in monitoring and administration of personal trading activity and reviews
    • Coordinate regulatory examinations and mock exams
    • Periodically assess internal processes against regulatory requirements and industry practices. Oversee that practices efficiently, practically and appropriately address policies and regulatory requirements.
    • Lead risk assessment and mitigation efforts for Legal/Compliance and participate in leading such efforts across all departments.
    • Either personally or through supervision of others create, schedule, and lead compliance training covering a range of topics, and provide compliance training to new employees.
    • Represent the firm at client/prospect due diligence meetings.
    • Communication: Interpret and explain company policies to others; prepare internal and external communications about legal and compliance matters.
    • Liaison with external service providers and counterparties as needed, including vendors and broker-dealers.
    • Stay informed of the current legal and regulatory landscape, especially regarding applicable new or amended laws and regulations.

     

    PREFERRED QUALIFICATIONS:


    • At least five years experience working in legal and/or compliance in the financial services industry, preferably with an SEC-registered investment adviser, private fund(s), or consulting firm.
    • Knowledgeable about regulatory, legal and risk-management functions within the financial services industry.
    • Experience with private funds, including private placement investor subscription process, a plus
    • Strong reasoning ability (i.e. capacity to understand inner workings of different departments across the firm and how compliance interacts with each).
    • Exceptional organizational skills; strong attention to detail while also working efficiently; consistent, prompt follow through and meets deadlines; ability to balance long-term projects against daily tasks.
    • Strong written and oral communication skills.
    • Ability to maintain sound judgment and professionalism under pressure.
    • Must work independently and take initiative, as well as be willing and able to follow directions
    • Must have positive attitude, be flexible, and work well with people. Willingness to roll up one’s sleeves and do what is required to get the job done—“no job is too big or too small”
    • Superior skills with Microsoft Office applications, including Excel, required. Other automation-related familiarity desirable
    • Four year Bachelor’s degree with a GPA greater than 3.0

     

    PERSONAL ATTRIBUTES:


    • Professional
    • Efficient
    • Intellectually curious
    • Independent and team oriented
    • Self-motivated
    • Solutions oriented
    • Accountable
    • Results Driven
    • Detail oriented
    • Able to problem solve
    • Energetic, creative, and positive
    • Collaborative and flexible
    • Respectful
    • Integrity


    PHYSICAL REQUIREMENTS:


    • This job requires employee to sit for approximately 6-7 hours a day and use a keyboard and mouse for repetitive motion. There will be >15 lbs. to lift, push, or pull in this job.


    Hall Capital Partners is an equal opportunity employer continually seeking to diversify its staff and will consider all qualified applicants with criminal history in a manner consistent with the requirements of the Fair Chance Ordinance of San Francisco.

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