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Compliance Associate

  • Location

    Santa Monica, CA

  • Sector:

    Financial Services and Banking

  • Job type:


  • Salary:


  • Contact:

    Hannah Twomey

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    about 1 month ago

  • Expiry date:


  • Startdate:


A wealth management partner of ours in Santa Monica, CA. is looking for two Compliance Associates to join their growing organization. This person will work closely with the senior members of the Legal and Compliance Department. 


As a Compliance Associate, 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 Associate, 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 a skilled Compliance Associate, you can apply by:

As a Compliance & Financial Crime market specialist, I am partnered with a myriad of large and small Financial Services and Wealth Management Institutions across the West Coast. If this role is of interest to you, or if you are interested in exploring other opportunities within the market, you are welcome to reach out directly to:

Hannah Twomey,, 619-324-0225