Compliance & HR Manager
About Energize Capital
Energize Capital is a leading climate software investor focused on scaling sustainable innovation. Founded in 2016 and based in Chicago, to date Energize has funded 26 companies and deployed more than $500 million through its venture capital and growth equity strategies. The firm manages more than $1.2 billion in assets and is backed by institutional, strategic and impact LPs including Invenergy, CDPQ, Credit Suisse, GE Vernova, Caterpillar and more.
Become a part of the Energize Capital team to contribute to our purpose of investing in leading climate software companies to generate top-tier returns and enable sustainable innovation at scale. We are a close-knit team with an entrepreneurial spirit, and this role requires flexibility, a diverse skill set, and an ability to perform at a high level on multiple fronts. We are looking for a driven, hardworking, and experienced professional to support and elevate our compliance and HR initiatives.
The Compliance and HR Manager will report to Energize’s Partner/COO. This individual will be primarily responsible for developing and executing both Energize’s compliance and human resources strategies. Energize Capital is a newly registered investment advisor.
The compliance manager plans, coordinates, and directs the compliance function of Energize Capital. They oversee the training, certifications, and documenting of compliance, consult with COO on compliance program and serve as a link between third party compliance support and COO. Additionally, they will manage the identification, resolution, and ongoing monitoring of compliance issues, field employee questions and assist generally with all compliance needs.
The human resources manager plans, coordinates, and directs the administrative HR functions of Energize Capital. They will oversee the recruiting, interviewing, and hiring of new staff; as well as policies, the performance review process and firm & individual goal setting process; additionally they will serve as a link between COO and employees.
This is a full-time position located in Chicago.
- Maintain documentation of compliance activities, such as complaints received or investigation outcomes.
- File appropriate compliance reports with regulatory agencies.
- Conduct or direct the internal investigation of compliance issues.
- Identify compliance issues that require follow-up or investigation.
- Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.
- Provide employee training on policies and procedures.
- Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated.
- Perform ongoing monitoring of compliance activities including through Compliance Alpha.
- Discuss emerging compliance issues with management or employees.
- Keep informed regarding pending industry changes, trends, and best practices and assess the impact of these changes on organizational processes.
- Advise COO on the implementation or operation of compliance programs.
- Consult with corporate attorneys as necessary to address difficult legal compliance issues.
- Direct the development or implementation of compliance-related policies and procedures throughout the organization.
- Assist in all regulatory filings, such as the Form ADV, etc. as directed by the COO.
- Prepare internal reports for the COO.
- Participate in special projects including regulatory examinations and perform other duties as assigned.
- Process, verify, and maintain personnel related documentation, including staffing, recruitment, training, grievances, performance evaluations, classifications, and employee leaves of absence.
- Explain company personnel policies, benefits, and procedures to employees or job applicants.
- Assist in the development, implementation, and maintenance of HR policies and procedures to align with legal requirements.
- Manage the hiring process, including: posting job descriptions, review employment applications and evaluate qualifications or eligibility of applicants.
- Administering employee benefit programs.
- Manage payroll, performance review process and goal setting process.
- Current resident of or willing to relocate to Chicago for the position.
- Bachelor’s degree
- 5-7 years of compliance experience at a registered financial advisor and have a strong understanding of compliance processes including deep knowledge of SEC regulations.
- Human resources experience is desired but not required.
- Strong analytical skills and the ability and willingness to navigate, interpret and apply the rules and regulations promulgated by the SEC.
- Detail-oriented with a track-record of consistently producing high quality product.
- Proactive, determined, with a strong work ethic.
- Knowledge of federal, state and industry regulations applicable to firm.
- Strong verbal and written communication skills.
- Ability to collaborate effectively.
- Project management, technological and prioritization skills.
- Strong analytical and problem-solving skills.
- Attention to detail.
Energize Capital is proud to offer employees a wide range of benefits to support personal well-being, growth, and professional development. Benefits include but are not limited to:
- Comprehensive health, vision, dental, and HSA from day one of employment
- 401k matching
- Generous paid time off in addition to 10 company holidays and a flexible winter holiday schedule
- Market-leading parental leave policy and family planning benefits
- Health club reimbursement
- Continuing education stipend
- Option to work remote Fridays
- Lunch provided on in-office days
Energize Capital embraces diversity and equal opportunity. We are committed to building a team that represents a variety of backgrounds, perspectives and skills.
We look forward to hearing from you!