Legal and Compliance Manager

Job Description

Job Description

Legal and Compliance Manager – San Francisco

Overview

An established investment management firm with over two decades of experience across venture capital, secondaries, co-investments, and direct investments is seeking a Legal and Compliance Manager. This individual will play a key role in supporting the firm's general legal, governance, regulatory compliance, and investment activities.

The Legal and Compliance Manager will report to the Head of Legal and Compliance and collaborate closely with other team members to execute both team-specific and firm-wide objectives.

Key Responsibilities

Investment Support

Manage and track the legal process for investments throughout their full lifecycle, including primary fund commitments, co-investments, and secondary transactions.

Review legal documentation, due diligence, and background checks.

Confirm compliance with fund investment guidelines and restrictions.

Oversee recordkeeping, allocations, and advisory committee responsibilities.

Regulatory & Compliance

Coordinate recurring compliance activities, including restricted securities / blacklist monitoring, outside affiliations reporting, jurisdictional registrations, regulatory filings, AML processes, and fund registrations / maintenance.

Maintain organizational charts and authority matrices.

Support investor-related requests such as DDQs, RFPs, and on-site meetings.

Governance & Fund Legal

Handle governance matters such as GP interests, fund formation and post-formation issues, LP transfers, entity formations / dissolutions, amendments / extensions, and investor side letters.

Operational Legal

Assist business teams with NDAs, service agreements, and other commercial contracts.

Support invoice review and allocation for legal matters.

Respond to ad-hoc legal inquiries from investment and operations teams.

Strategic Contributions

Contribute to firm growth by supporting new business initiatives from a legal / regulatory perspective.

Identify opportunities to enhance efficiency through process improvements and automation.

Collaborate on special projects, compliance reviews, and evolving regulatory requirements.

Qualifications

Bachelor's degree required; JD or Paralegal certification a plus.

Notary Public license a plus.

6+ years of relevant legal / compliance experience, ideally within the financial services industry (Registered Investment Advisor or similar).

Strong knowledge of private investment funds, governance, and regulatory frameworks.

Experience negotiating and organizing commercial contracts.

Proficiency with Microsoft Office Suite, virtual data rooms, and / or agreement management tools.

Personal Attributes

High integrity, sound judgment, and discretion.

Exceptional organizational skills and attention to detail.

Proactive, self-motivated, and adaptable.

Strong collaborator with a team-oriented mindset.

Other Details

Hybrid work schedule : in-office Tuesday through Thursday, remote Monday and Friday.

Ability to work beyond standard business hours when needed.

Candidates will be considered in line with applicable equal opportunity and fair chance regulations.