Director / Head of Compliance Full Time NEW

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