Compliance Director/Deputy

Compliance Director/Deputy

INTRODUCTION

Generate Capital is hiring a Compliance Director or Compliance Deputy to manage compliance operations, including continuing review and implementation of Generate’s registration under the Investment Advisers Act of 1940 and other compliance programs of the Company. The mission of this position is to ensure compliance with the policies and procedures of a registered investment advisor in order to minimize legal, regulatory and strategic risks and disruptions to the operations of the Company.

ABOUT GENERATE CAPITAL

Generate Capital is a leading investment and operating platform for sustainable infrastructure. Founded in 2014, Generate has been accelerating the Infrastructure Revolution for years, partnering with pre-eminent innovators with a diversified fleet of over 2,000 sustainable infrastructure assets, serving more than 1000 customers and communities. We are the one-stop shop for technology companies, developers and integrators for capital and help to deploy sustainable infrastructure and for customers to meet resilience, decarbonization and cost savings goals.

Climate change, and the related resource challenges of food insecurity, energy poverty, and water scarcity, require an unrelenting focus on delivering solutions at the urgency and scale required. At Generate, we believe that we can solve the world’s most pressing resource issues by taking a systems-level approach, one that has the appropriate time horizon and the financial, operational and human capacity to comprehensively address the challenges before us. We recognize that our stakeholder alignment is our license to operate: customers, communities, innovators, developers, employees, capital partners and the planet all must win.

We do work others can’t. Generate is the long-term, flexible, operationally capable, and values-driven partner for pioneering project developers and solutions providers, offering an empathetic and experienced approach to solving the world’s most important problems.

Joining Generate is an opportunity to help build a cutting-edge, values-driven organization that is redefining the economics of sustainable infrastructure. At Generate, we take a long-term approach to our people and are committed to building a diverse, equitable, and empathetic workforce that is willing to roll up our sleeves and do what it takes to get infrastructure projects built. We integrate our values – integrity, collaboration, excellence, intellectual honesty, and accountability – at all levels, in all of our decisions. Certified as a Great Place to Work, Generate offers employees a collaborative culture, opportunities for personal growth and exposure to ongoing learning opportunities.

What you can expect from us:

• The ability to truly “do well by doing good”; indeed, we really are changing the world
• An opportunity to help build a cutting edge, values-driven organization that is leading the Resource Revolution and redefining the economics of distributed, sustainable infrastructure
• The integration of our values – integrity, collaboration, excellence, intellectual honesty, and accountability – at all levels and with our many stakeholders
• An opportunity for entrepreneurship and leadership in building out and managing the company’s operational infrastructure and the teams to support it
• A commitment to your professional development, ongoing learning opportunities, and overall growth as a person
• The ability to work with a team with decades of collective experience financing and managing billions of dollars of sustainable infrastructure, leading successful startups, and growing great people
• Competitive pay and benefits

ABOUT THE POSITION

The Compliance Director/Deputy will coordinate with the General Counsel to manage the compliance function at Generate Capital.  In addition to handling the periodic reporting and monitoring of activities, the Compliance Director/Deputy will also own the compliance plans and procedures and review and revise these plans as the business operations evolve.  The expectation is for this role to develop a compliance team as the Company grows.

What you will be doing at Generate Capital as Compliance Director/Deputy:

• Manage the Company’s compliance function, including administration, implementation and updates of the compliance programs and procedures pursuant to SEC registration
• Handle periodic reporting, compliance tests and review and improvement of compliance program
• Day to day administration of the Company’s Code of Ethics activities, including conflicts of interest, personal trade pre-clearance, monitoring and maintenance of restricted lists, private investments and outside investment activities
• Coordinate and assist in legal/compliance due diligence reviews of data partners
• Recommend updates to the Company’s compliance program, implement changes at the Company level and maintain/revise SEC Forms, including ADV Part 1, Part 2A and related filings
• Coordinate compliance program with international affiliates
• Coordinate and assist in legal/compliance due diligence reviews of data partners
• In coordination with our technology team, evaluate and maintain compliance software solutions
• In addition to securities related compliance, oversee internal compliance programs relating to KYC, AML and best practices for a sophisticated financial services provider

Candidate requirements and qualifications:

• A demonstrated passion for, or commitment to, our mission
• 10+ years’ experience in a compliance role at an SEC-registered investment advisor or one of the US regulatory bodies (SEC/FINRA).
• Experience with early-stage advisers in the creation and evolution of compliance manuals and related processes and systems, and fostering a compliance culture as the business scales
• Knowledge of software and technology supporting compliance function
• Self-motivated, showing initiative
• Ability to work with team members and teach others who are unfamiliar with SEC compliance
• Outstanding communication and interpersonal skills, including empathy, intuition, and listening as well as strong writing, editing, and basic design skills
• Excellent organizational and self-management capability
• Demonstrated ability to work effectively in a cross functional team
• Ability to rapidly learn new concepts with minimal formal instruction
• High level of self-awareness and humility, with excitement about confronting uncomfortable situations or new challenges
• Intellectual agility and curiosity, superb analytical skills; problem-solving is your default mode
• Experience in a growth company is preferable
• Unimpeachable integrity and glowing references
• Entrepreneurial spirit: flexibility, comfort with risk, recognition that “perfect can be the enemy of the good”

This position will be based in our San Francisco, CA office

Generate Capital is an equal opportunity employer and does not discriminate against otherwise qualified applicants on the basis of actual or perceived race, color, creed, religion, ancestry, citizenship status, age, sex, marital status, sexual orientation, gender identity, national origin, disability or handicap, veteran status, or any other characteristic protected by applicable federal, state, or local laws.