Senior Compliance Analyst – Investment Management Firm

Los Angeles, California

2021-03-22

Senior Compliance Analyst for Global Investment Management Firm

Looking to learn from top tier industry leaders? Our client, a global investment management firm, is looking to bring on a Senior Compliance Analyst. This role will report directly to the Senior Vice President and will be a part of the Enterprise Compliance team.

Don’t miss out on a chance to join a welcoming company culture comprised of encouraging and uplifting colleagues. This can be the next exciting step in your career, apply now!

Who You Are:

  • 3-7 years of experience working in compliance within the financial services industry
  • Strong knowledge of regulatory, code of ethics, marketing review, and MNPI functions
  • Understanding of SEC structure and experience working with a large company
  • Proficient with Microsoft Suite
  • Motivated, self-starter with the ability to work independently while meeting deadlines

What You’ll Do:

  • Oversee all compliance tasks, including maintaining and updating the firm-wide restricted list, assessing and approving strategy conflicts
  • Assist in Code of Ethics, Broker-Dealer oversight, ADV filings, annual testing, and marketing review
  • Support with additional duties, as needed

Why Work Here?

  • Inspiring Leadership: learn from the sharpest leaders in the industry!
  • Competitive Compensation: Enjoy competitive base salaries, bonuses, and benefits
  • Strong Team Dynamic: Dedication and focus to personal and professional growth – ability to work closely and learn from colleagues

Please send your resume to phooshim@provenrecruiting.com for confidential consideration.

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