Los Angeles, CA
$80,000-$102,000 + Bonus
3 months ago
A prestigious financial services client of ours is looking to add a Compliance Analyst to their team in Los Angeles area. This role will be responsible for acting as one of the primary points of contact for corporate personnel, regarding compliance with their Code of Ethics, Code of Conduct and use of compliance-related reporting systems, and assisting the Compliance team with day-to-day operations.
- Assist personnel with Code-related questions, including those related to personal trading, political activity, charitable contributions and gifts and entertainment.
- Assist with the distribution of compliance certifications through the firm’s automated compliance system.
- Connect new brokerage account feeds and assist personnel with brokerage account reporting.
- Coordinate new employee onboarding and compliance reporting.
- Conduct in-person new hire training on compliance-related policies and procedures.
- Investigate and document violations of firm policies.
- Assist with quarterly & annual testing and monitoring of policies and procedures.
- Assist in the drafting and distributing of compliance department communications.
- Assist with quarterly reviews (e.g., political activity, gifts and entertainment, FCPA).
- Bachelor of Arts or Bachelor of Science with related experience or equivalent experience in Compliance, 2-3 years.
- Experience using Code of Conduct/Code of Ethics.
- Preferably background in investment management or brokerage companies.
- Familiarity with Investment Advisers Act of 1940 preferred.