Chief Compliance Officer

Company Description

Delphi Ventures is a thesis-driven, high-conviction firm that allocates across core themes that we believe will dramatically shape the world.

Delphi Ventures is a member of the Delphi Digital family, a group of separate companies sharing the same brand and vision.

The Delphi Digital family has evolved since its inception. Delphi Research was born in 2018 as a firm focusing on producing institutional-grade research. Delphi Ventures launched in 2020 and operates as an independent venture capital firm that invests in world-changing founders. Delphi Labs was established in 2021 as an incubator and launchpad for projects building in the blockchain and digital asset space.

‍

Your Role

We are hiring an experienced Fractional Chief Compliance Officer (CCO) to join our team in a part-time capacity. This role will be integral in further developing our compliance program, executing compliance tasks, and enforcing compliance among our internal and external stakeholders.

The scope of our operations and regulatory approach may change over time and we want you to join us for that journey.

‍

Your Responsibilities

• Update and maintain compliance policies and procedures for Delphi Ventures, including AML, KYC, and working with our fund admin and external compliance advisors to implement said programs. Maintain record keeping for the compliance program.
• Lead the monitoring of our compliance program including responsibility over compliance documentation (Compliance Manual, Code of Ethics, Policies and Procedures), compliance testing and monitoring program, and employee compliance training. These activities shall be expected in accordance with: Bank Secrecy Act (BSA), FinCEN’s Anti-Money Laundering (AML) requirements, and OFAC sanctions, and the Investment Advisers Act of 1940
• Provide support to members of the Ventures team with respect to compliance objectives, providing real-time guidance to Delphi Ventures persons related to compliance matters
• Manage KYC/AML submission process for Delphi Ventures investors via our fund administrators
• Manage Delphi Ventures KYB/AML submissions to new investments, vendors, and service providers
• Provide feedback on Delphi Ventures communications (e.g., investor emails, company tweets, marketing materials, etc.) with respect to compliance objectives
• Manage all registration and licensing activities with the regulators in our relevant jurisdictions, including our ERA regime with the SEC. This includes preparing Form ADV updates, annual compliance reviews, and related disclosures in compliance with Investment Advisers Act rules.
• Stay current on evolving regulations in venture capital with respect to compliance
• Opportunity to participate in policy efforts, working with our team to provide inputs to regulators on what best-in-class compliance for our industry looks like

We anticipate the above responsibilities can be performed in a very part-time role.

‍

Qualifications & Characteristics

• 5+ years in compliance roles within venture capital, compliance, or fintech, with relevant regulatory experience
• Experience operating in fast-moving environments with multiple business models and stakeholders
• Strong familiarity with domestic and international compliance frameworks
• Experience in startups/fast-paced environments requiring pragmatic, scalable solutions
• Self-led, communicative, autonomous working style

‍

Additional Information

• Language Skills: Fluent English, both spoken and written
• Location: Remote, Western Hemisphere preferred
• Hours: Flexible

‍

How to Apply

Note: This is a syndicated job post, meaning it was not posted to Fractional Jobs directly, so we don't have control over the application process. To apply, click on the "View Application" and follow the application's instructions.