Compliance Officer

Quona Capital Washington , DC 20147

Posted 3 weeks ago

The Opportunity

Quona seeks a candidate for the Compliance Officer position which will implement Quona's comprehensive compliance program and support the maintenance of the company's corporate documentation. The role will interact with the broad range of Quona's operating activities including fund formation and entity management; investor information management; Environmental, Social & Governance evaluation, and reporting; global regulatory compliance; and cybersecurity. This role will help ensure that Quona delivers on its regulatory responsibilities as well as its fiduciary obligations to investors. The candidate will be expected to hit the ground running to deliver on these critical workstreams, working collaboratively with a close-knit team of Operations and investment associates in a fast-paced yet supportive environment. The Compliance Officer will report to the firm's Chief Operating Officer (COO) and Chief Compliance Officer (COO).

Primarily remote, but the candidate should reside within the greater Washington, DC area and be able to come to Quona's DC office from time to time.

About Quona

Quona Capital is the largest venture capital investment firm dedicated to promoting fintech for inclusion in emerging markets. We invest in categorydefining financial technology companies in emerging markets. The firm was formed with a simple idea: technology has the power to radically improve the quality, access, and affordability of financial services for underserved consumers and businesses. We invest in disruptive innovations to create a more financially inclusive world. Our work is focused on specific markets in South and Southeast Asia, Latin America, SubSaharan Africa, and MENA, leveraging a strategic relationship with Accion International, a global leader in financial inclusion.

Quona was established in 2015 and today operates with over USD 750 million in assets under management (AUM), 45+ investees across multiple investment vehicles in distinct jurisdictions, and a global team operating from Washington, DC, and the emerging markets in which we invest. Quona is a registered investment advisor with the United States Securities and Exchange Commission.

You can learn more about our mission, our inspiring portfolio companies, and our diverse team at www.quona.com.

Areas of Responsibility

  • Regulatory and Compliance Administration: Shape, manage, and carry out the firms regulatory compliance program, which currently includes compliance with the US Securities and Exchange Commission (SEC) and the Cayman Islands Monetary Authority (CIMA), with support from the CCO, the firms 3rd party compliance advisory firm and a Cayman advisory firm. Activities include
    • annual compliance reviews, reports, and filings;
    • compliance policy updates and enhancements;
    • knowyour customer and antimoney laundering (AMLKYC) checks on investees, investors, and employees;
    • fillings and procedures to meet substance requirements in relevant markets, cybersecurity oversight and implementation (ensuring appropriate team access rights, functioning twostep verification login structures, antivirus and other cybersecurity precautionary and monitoring measures, etc.)
    • Compliance trainings
    • Interaction with third party compliance advisors and administrators
    • Other daytoday aspects of Quonas compliance program. Some of these items are outsourced but still require coordination, attention and troubleshooting.
  • Document Administration: Working in partnership with other members of the operations staff, collect, organize and maintain files containing
    • All relevant investment and corporate governance documents for each fund and portfolio investment, including holding companies and related investment entities
    • Investor information and contacts
    • Quona corporate documentation
    • Any and all compliance-related files and folders
  • Other: Support other general aspects of firm operations function, such as setting and ensuring best practices/protocol and file structure of the firms file sharing system coordination/troubleshooting; support COO and Finance Manager, from time to time, in other areas as needed; contribute to firmwide knowledge management and team building.

Requirements

  • Undergraduate degree. Graduate degree is a plus but not required.
  • Minimum 2-4 years of working experience in investments, law, operations, compliance, and/or reporting ideally within an investment firm. Experience at a U.S. SEC or Cayman-regulated firm is a plus. Experience in investment fund operations, fund administration, and/or investment paralegal work is a plus.
  • Proficiency in interpreting and following legal language, legal documents, investment legal documents, and legal structures preferred.
  • Understanding of financial services, venture capital and private equity, technology, emerging markets, and impact investing a plus.
  • Proficiency with Excel, PowerPoint, Word (formatting) required and familiarity with cloudbased file management and CRM systems (e.g., Box, Dropbox, Affinity) preferred.
  • Professional and personable with strong communications skills and affable manner.
  • Commitment to detail and quality control. Ability to be responsible for large amounts of documentation and information.
  • Ability and motivation to dive into complex or nuanced policy/process/legal matters to problem solve and troubleshoot.
  • Ability to prioritize and make judgments on balance between quality and good enough in consideration of broader workstream demands; meet deliverable deadlines and make good decisions in a fastpaced environment with competing priorities.
  • Strong motivation to support an entrepreneurial organization with a social mission and desire to be part of a hardworking and passionate global team.

Benefits

Indicative salary range - $85k - $110k, plus benefits, including:

  • Company-paid medical, dental and vision insurance
  • Health and dependent-care FSAs
  • 401k
  • Unlimited vacation time
  • Paid sick leave
  • Short and long-term disability insurance
  • Life insurance
  • Commuter benefits
  • Phone reimbursement
  • Discount programs
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Compliance Officer

Quona Capital