AVP or Senior Compliance Analyst – Financial Services Industry

Los Angeles, California


Senior Enterprise Compliance Analyst in Investment Management industry

We're seeking an experienced Compliance Analyst with a financial services industry background to join this notable investment management firm in LA! Look forward to surrounding yourself with the best of the best in the field and apply now!

Who you are:

  • 3-5 years in a compliance role within the financial services industry or past paralegal experience
  • Strong understanding of regulatory, code of ethics, marketing review, and MNPI functions
  • Experience working in a SEC regulated environment
  • Proficiency with Microsoft Office, specifically Word, Excel, and Outlook

What you’ll do:

  • Manage compliance in a generalist capacity, maintaining and updating the firm-wide restricted list
  • Assist in Code of Ethics, Broker-Dealer oversight, ADV filings, annual testing, and marketing review
  • Multi-task effectively and manage deadlines while assisting with ad-hoc testing and tasks
  • Build strong collaboration with team members and work side-by-side with various departments

Why work here?

  • Inspiring leadership: learn from the brightest accountants in the industry!
  • Competitive compensation: Enjoy competitive base salaries, bonuses, and benefits
  • Room for growth: Robust accounting teams which room for advancement within – long tenure on teams!

Please send your resume to mdavis@provenrecruiting.com if you have the requisite experience along with a passion to solve problems and eliminate inefficiencies.


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