Director / Head of Compliance
Goanna Capital Management
Job Title : Director of Compliance
Location : West Palm Beach, FL (HQ) / New York, NY
Goanna Capital invests in the most ambitious technology companies shaping the future of AI, SaaS, cloud, and frontier innovation. Our portfolio includes category-defining leaders such as Anthropic, OpenAI, Ramp, Rippling, and Neuralink.
Role Overview:
We are seeking a Director / Head of Compliance - Your background should include several years at an SEC-registered investment adviser with expertise in VC or PE.
Key Responsibilities :
Compliance Program Oversight
- Lead and enhance our compliance program
- Evolve and strengthen existing policies and procedures across firm operations
- Oversee compliance monitoring systems and ensure adherence to internal policies and regulatory rules
- Manage and optimize code of ethics administration
Regulatory & Filing Management
- Own all regulatory filings including Form ADV, Form PF, Form D, and Blue Sky filings
- Enhance compliance review processes for marketing materials and investor communications
- Ensure alignment with Investment Advisers Act of 1940 and relevant SEC regulations
- Strengthen compliance testing protocols and prepare for and manage regulatory examinations
Fund & Investment Compliance Support
- Support fund formation, side letter negotiation, and limited partner onboarding processes
- Work with internal teams to align compliance aspects of investments and fund operations with regulatory requirements
- Coordinate with outside counsel on fund structuring and transactions
Risk Management & Cybersecurity
- Enhance cybersecurity and data privacy frameworks, including IT coordination and incident response planning
- Develop relevant policies and coordinate with external IT providers
- Implement risk management frameworks aligned with investment strategy and commercial judgment
- Optimize vendor management and due diligence processes
Ideal Candidate Profile :
- Several years generalist compliance experience at SEC-registered investment adviser
- Strong working knowledge of Investment Advisers Act of 1940 and relevant SEC regulations
- Experience with venture capital and private equity fund structures required
- Proven experience enhancing compliance programs and optimizing existing policies
- Experience with compliance testing, annual reviews, and regulatory filings (Form ADV, Form PF, Form D etc)
- Expertise with private markets fundraising, LP relations and investment oversight
- Familiarity with cybersecurity compliance and IT coordination
- Exceptional organizational, communication and stakeholder management skills
- Strong integrity, discretion and balanced risk / commercial judgment
Benefits :
- Competitive salary and performance-based bonuses
- Energetic and positive culture with a strong emphasis on team based success
Vacancy posted 1 day ago
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