Compliance Officer

Compliance Officer

Job Summary:

We are currently looking for a Compliance Officer at our Minneapolis office. This position will serve as the crucial lead in ensuring a rigorous adherence to Compliance and records management. The firm, for the first time in its history, is looking to partner with the broader Impact community to scale our contribution to the Climate Transition. As such, we seek to maintain the highest levels of client information protection as well as rigorous adherence to applicable Regulatory frameworks.

This role will be accountable for building the compliance program of an SEC-registered investment adviser and own initiatives related to compliance testing activities while ensuring effective policies and procedures are followed by staff.

Note that this is an onsite role but part-time will be considered for the right applicant.

Please submit a cover letter along with your resume.

Essential Functions:

• Own Treehouse’s Compliance program Manage an initial engagement with an outsourced compliance provider to develop and implement the Treehouse Compliance Manual
• Conduct an annual compliance review andaudit internally for compliance regulationsScale the firm’s KYC/AML policy and procedure to allow for multiple institutional external investors
• Oversee domestic and regulatory reporting (including SEC and other regulators)
• Conduct ad hoc compliance assignments, including periodic testing and routine regulatory examinations
• Manage the administration of the firm’s NDA process
• Ensure a scalable, protected Records management process throughout the firm’s business areas and institute a firm-wide calendar for Records updates
• Perform other tasks as assigned

Qualifications:

• 4+ years of Regulated Compliance background. De-novo SEC Registration at an RIA a plus
• Strong work ethic, attention to detail, organizational and communications skills. We are committed to the right work-life balance but we prioritize work when we are in the office
• A desire to build, manage and run the compliance function of a growing player in the Impact space
• Demonstrated ability to multi-task, problem-solve and think critically while building mutual respect with team members and firm principals
• Comfort and appreciation for the volatile, ambiguous, oftentimes challenging world we live in.

About Treehouse:

Treehouse Management is the management company of an ESG (environmental, social, governance) investment firm dedicated to addressing climate change through targeted decentralized infrastructure investments. At Treehouse, you will be joining a team of talented individuals with a range of skills from finance to renewable energy operations and development. We take pride in our culture of teamwork, honesty, and healthy work-life balance. Join the Treehouse team and grow with us!