Los Angeles, CA.
about 1 month ago
A wealth management partner of ours in Los Angeles, CA. is looking for a Compliance Officer to support the expansion of their Compliance department. This person will report directly to the Chief Compliance Officer and work closely with all members of the Compliance, Legal, Investor Communications & Marketing, and Relationship Management teams.
As a skilled Compliance Officer, you will:
- Review marketing materials, Requests for Proposals (RFPs), Requests for Information, Due Diligence Questionnaires (DDQs), webinars, podcasts, and other marketing communications for compliance with applicable regulations and Firm policy.
- Identify and monitor trends and regulatory changes to assess their impact on the Firm’s policies, practices, communications and marketing materials.
- Support maintenance of appropriate recordkeeping relative to marketing materials.
- Provide guidance on and review internal processes and applications for maintaining updated and relevant material for use in marketing materials.
- Participate in the development of corporate policies, procedures, and programs for the US Firm and its UK subsidiary.
- Monitor and determine whether approval is appropriate for employee trade, political contribution, and gifts and entertainment requests.
- Take an active role in educating and training personnel on all compliance matters.
- Conduct risk-based testing of Firm policies, procedures, and controls.
- Develop mitigation controls or remediation recommendations resulting from independent analyses.
- Prepare and submit regulatory filings.
- Prepare responses to regular and periodic compliance requests and certifications.
- Prepare documentation for and communicate with external auditors and regulators.
- Develop and implement new compliance program requirements.
- Develop and support new compliance program projects or endeavors, including enhancements to existing systems and applications on which the compliance program operates.
- Respond to employee compliance related matters.
- Proactively identify potential areas of compliance risk and recommend and develop corrective action plans for problem resolution.
- Proactively identify new technologies or efficiencies in workflows to improve the program.
- Undertake special compliance-related projects as assigned by the Chief Compliance Officer.
As a skilled Compliance Officer, you will need:
- At least 5 years of experience in an investment advisory organization or FINRA member firm with direct experience in the review of marketing/advertising materials
- Basic knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Exchange Act of 1934, and other US, UK, and EU investment advisory regulations
If you are a skilled Compliance Officer, 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, email@example.com, 619-324-0225