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Compliance Analyst
  • Compliance & Financial Crime
  • $90,000- $120,000

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 (, 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 



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