Senior Compliance Analyst – Investment Management Firm
Los Angeles, California
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 firstname.lastname@example.org for confidential consideration.