Role details

Compliance Manager

International   •  Permanent

Bullet points

  • Expereincing within the Financial Services Industry prefrerd
  • Great opportunity to grow your career!

About Our Client

Our client is a publicly traded private equity firm based here in Downtown Los Angeles.

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.
  • Knowledge of corporate compliance programs including risk assessments, testing and monitoring, training, and policy.
  • Knowledge of financial regulation

What's on Offer

  • Competitive market rate for Compliance Manager in Los Angeles
  • Full benefits package

Apply for this job

Click the Apply or LinkedIn button below or contact Teobesta Ashenafi quoting job reference 1202971
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