A wealth management partner of ours in Santa Monica, CA. is looking for a Compliance Analyst to join their growing organization. This person will work closely with the senior members of the Legal and Compliance Department.
As a Compliance Analyst, you will:
- Assist with regulatory filings (e.gs., SEC forms ADV and PF; regional licensing and registrations);
- Review employee trading and related activities to ensure compliance with firm policies;
- Participate in internal and external audits and reviews of the firm’s compliance program;
- Assist with “know your customer” and anti-money laundering processes and conduct due diligence on potential investors and counterparties;
- Draft corporate, partnership and limited liability company resolutions and authorities;
- Track entities and director and officer updates;
- Work with outside counsel to create and maintain charts of key terms for transactions, financing and employment arrangements;
- Assist with non-disclosure agreements;
- Review and develop Registered Investment Adviser Compliance Policies and Procedures and Code of Ethics, and assist and identify areas where policies and procedures need to be developed or amended;
- Design and implement compliance training program;
- Work with Legal Department to maintain and improve monitoring list processes;
- Work with Legal Department and outside counsel on staying current on legal and regulatory issues and developments, and develop and implement related strategies;
- Assist with portfolio company legal support.
As a Compliance Analyst, you will need:
- Bachelor’s degree with a strong record of academic achievement;
- 1-5 years of experience working in private equity, investments, banking, broker-dealer or other financial services firms;
- Excellent oral, written, presentation and communication skills;
- Highly organized, detail-oriented, and analytical;
- Ability to collaborate with colleagues while exercising independent judgment;
- Ability to work independently and as a member of a team;
- Ability to multitask and prioritize competing demands to meet deadlines;
- High ethical standards;
- Working knowledge of Microsoft Office suite (Excel, Word, PowerPoint and Outlook);
- Willingness to learn and utilize technology to facilitate business objectives.
If you are interested, please reach out to p.haywood@hamlynwilliams.com
