About the Firm
At Aperio Group, our strategies are designed to put our clients’ and their clients’ interests at the center of our investment advice; to minimize costs and taxes; and to incorporate each client’s unique environmental, social, and governance (ESG) preferences. We are a purposefully growing quantitative/index-tracking investment management firm specializing in managing customized equity portfolios tax efficiently.
We recognize that our competitive advantage starts with our people and our culture. At Aperio, we work hard and move quickly as a well-coordinated, collaborative team whose exceptional people are focused on providing extraordinary client service. Our firm seeks to build a workforce that is as diverse in experience, perspective, and culture as the clients with whom we aspire to work. We are looking to add amazing people to our team who will bring diversity across many lines, including race, ethnicity, religion, sexual orientation, age, marital/family status, disability, gender identity, sex, and country of origin.
Our headquarters is in Sausalito, California, only one block from the beautiful harbor. It’s a short, 20-minute drive from much of San Francisco. We are looking for talented individuals in the San Francisco Bay Area as well as nationwide as a remote opportunity. If not local, when travel is permitted, team members are expected to visit the office periodically for training and to work with the core onsite team. If you are looking for an opportunity to grow and contribute in a fun, industry-disruptive, fast-paced environment, Aperio is the place for you.
APERIO GROUP, LLC 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.
Legal and Compliance at Aperio
Aperio is a Securities and Exchange Commission–registered investment adviser. Our Compliance Department protects Aperio’s reputation and provides advice to the business focused on ensuring the protection of our clients’ best interests. The department operates in a dynamic environment in which the team focuses on understanding the evolving business strategy as well as advising on the impact of regulation in our business, with the objectives of:
In conjunction with Legal, the Compliance team oversees Aperio’s compliance with applicable laws and regulations and is responsible for, among other things, establishing legal and compliance policies and procedures that meet applicable regulatory requirements; testing the effectiveness of those policies and procedures; overseeing regulatory matters; and providing compliance training.
We are looking for an experienced, highly organized and energetic Chief Compliance Officer to lead Aperio’s Compliance team. This is an excellent opportunity to continue to build a career in legal and compliance as part of a high-caliber team.
The Chief Compliance Officer will be a key member of the senior management team within Aperio. She/he will report to the Chief Operating Officer and partner with the Senior Legal Counsel, who oversees our Legal Department. This high-profile role will have direct contact with management, colleagues, clients, and external vendors.
Duties and Responsibilities
The successful candidate will provide day-to-day and strategic leadership and management of the Compliance Department, overseeing Aperio’s compliance with SEC rules and regulations, securities law (especially the Investment Advisers Act of 1940 and the Investment Company Act of 1940), ERISA requirements, other applicable laws and regulations, and relevant Aperio policies to effectively monitor and manage regulatory compliance risk.
The successful candidate will be able to effectively manage compliance risk as follows:
Other Desirable Skill/Abilities
California Residents: The California Consumer Privacy Act (CCPA) requires us to inform job applicants about the categories of information Aperio collects about you and the purposes for which Aperio will use your information. For personal information subject to the CCPA, please see this Privacy Notice, which contains required disclosures and details information that we collect as a part of our job application process.
Applicants: Please be aware and cautious about scams and requests for information from sources claiming to be affiliated with or working on behalf of Aperio Group. Be suspicious of anyone contacting you from an email domain other than “aperiogroup.com” or “app.bamboohr.com,” or calling you about a job opportunity if you have not sent a resume to us. We will never ask for personal or background check information directly over email or the telephone before providing a formal job offer, and we only use secure methods to request and receive such information. If you are concerned about the legitimacy of a communication or request, we suggest that you call our main line 415.339.4300 to verify.
Your application was submitted successfully.