Compliance Analyst
Compliance Analyst (Los Angeles, CA)
Base Salary: $80,000-$100,000
An investment‑management powerhouse is seeking a Compliance Analyst to support their investment guideline monitoring and oversight processes. This is an excellent opportunity for an early‑career professional who enjoys analytical work, detailed review, and working closely with investment and operations teams. The role includes exposure to credit‑oriented portfolios and a variety of fixed‑income instruments.
Key Responsibilities
Reviewing investment guidelines - Analyze portfolio or mandate documents to identify investment requirements, restrictions, and risk parameters.
Maintaining compliance checks - Assist in setting up and updating internal processes used to monitor adherence to investment rules across credit and fixed‑income strategies.
Evaluating compliance results - Review monitoring outputs, identify potential exceptions, and escalate issues when needed.
Investigating data discrepancies - Partner with internal teams to research and resolve inconsistencies in portfolio or security data.
Supporting internal stakeholders - Provide clarification to investment teams regarding guideline interpretations and compliance outcomes.
Reconciling reporting - Compare internal compliance findings with external or third‑party reports and resolve any differences.
Preparing summaries and analysis - Produce periodic and ad‑hoc reporting on compliance metrics, trends, and credit‑related exposures.
Qualifications
Bachelor's degree in Finance, Economics, Business, or a related field.
1-3 years of experience in compliance, portfolio monitoring, investment operations, or another analytical role within financial services.
Familiarity with credit products such as corporate bonds, loans, or other fixed‑income instruments.
Strong analytical and communication skills with the ability to interpret investment guidelines and collaborate across teams.
High attention to detail and a proactive approach to problem‑solving.
Advanced Excel proficiency; comfort with modern analytical tools is a plus.
Ability to work across time zones with partial overlap into East Coast hours.
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