Role details

Compliance Analyst/Manager

Los Angeles   •  Permanent

Bullet points

  • Seeking a Compliance Associate for a global investment firms based in LA
  • High exposure role in the financial services industry

About Our Client

Our client is a leading a global investment firm with multibillions of dollars of capital under management. Our client is rapidly growing and looking for individuals to grow with the company.

Job Description

The duties of this position will include but are not limited to:

  • Prepare annual filings of Form ADV, Part 2a of Form ADV and Form PF.
  • Monitor employee brokerage accounts.
  • Conduct RIA compliance testing and maintain RIA policy and procedures manual.

The Successful Applicant

  • 4 year degree in accounting, finance or other business related
  • Proficient with Excel, Word, Powerpoint and Outlook.
  • Experience with compliance science & smarsh

What's on Offer

  • Salary
  • Benefits
  • Potential for profit sharing

Apply for this job

Click the Apply or LinkedIn button below or contact Teobesta Ashenafi quoting job reference 1200992
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