Jed Clark Email & Phone Number

San Francisco, California, United States

After 3 years of planning, I embarked on a world journey, during which I traveled extensively in 11 countries on 4 continents. I meditated in silence for 10 days in Prachin Buri, Thailand. I trekked 125 miles over 13 days in the Nepali Himalayas, circumnavigating the Annapurnas, taking a very cold (and brief) swim in Tilicho Lake at an altitude of 16,000.

San Francisco, CA

• Managed the compliance department for a $32B SEC-registered investment adviser with ultra high net worth clients, private equity funds, venture funds, a real-estate fund (a joint venture with Iron Point Partners, LLC).
• Establish, mentored and managed a team of eight.
• Engaged, negotiated with, oversaw and directed service providers to facilitate legal, compliance, and operational requirements.
• Managed and mitigated regulatory… Show more
• Managed and mitigated regulatory risks and conflicts of interest.
• Served on the following committees: Best Execution, Business Continuity, and Conflicts.

San Francisco, California

• Directed firm operations, including currency hedging for investment funds, investor reporting, controlling cash movement, soft dollar budgeting, attribution reporting, and portfolio reconciliation.
• Implemented and supervised the firm's compliance program, including code of ethics, best execution, and investment valuation.
• Registered the firm as an investment adviser with the U.S. Securities and Exchange Commission and the Ontario Securities Commission.
• Reviewed and approved… Show more
• Reviewed and approved contracts.
• Managed service providers, including fund administration, accountants, research and auditors. Show less

San Francisco, California

• Advised clients on formation and structure of domestic and offshore investment funds, separately managed accounts, registration of investment advisers, as well as regulatory and compliance matters.

San Francisco, California

• Served as the Chief Compliance Officer for two SEC-registered investment advisory firms.
• Evaluated regulatory and business risks and structures and implements compliance programs and procedures to mitigate those risks.
• As outsourced CCO, managed two SEC exams, including responding to deficiencies and implementing remediation procedures.

• Drafted petitions, proposed orders, memorandums of points and authorities, and answers.
• Prepared Judicial Council Forms for probate, conservatorship, and estate proceedings.

• Analyzed securities trading data, phone and banking records, transcripts, and brokerage statements for SEC investigations and enforcement actions.
• Researched legal issues and drafted memorandums recommending courses of action.

• Customized, implemented, and monitored compliance programs and Codes of Ethics for Conifer’s hedge fund manager clients, including SEC registered Investment Advisers.
• Managed and prepared regulatory filings for hedge funds, including Schedule 13-F, Schedule 13-G, and blue-sky filings to comply with varying state requirements.
• Supported clients during regulatory exams and inquiries by researching requests, gathering and preparing documents, responding to examiners’ questions, and… Show more
• Supported clients during regulatory exams and inquiries by researching requests, gathering and preparing documents, responding to examiners’ questions, and drafting and reviewing responses.
• Reviewed trading activity for compliance with trading restrictions and trade approval procedures.
• Developed and supervised new Customer Identification Procedures for Conifer’s Anti-Money Laundering Compliance Program.

Juris Doctor, Tax Concentration, Magna Cum Laude. Top 5%.

Activities and Societies: Hastings Law Journal, Production Editor; OutLaw, Board Member, Fall 2008 through Spring 2009; Volunteer: IRS.

M.P.C., Professional Communication

GPA 3.85.

B.A., English, Cum Laude.