Compliance Analyst/Associate
Compliance Analyst or Associate - Private Investment Firm (On-Site in Santa Monica, CA)
A leading private investment firm is seeking a Compliance Analyst or Associate to join its legal and compliance team. This full-time, on-site role is based in Santa Monica, California, and reports directly to the Chief Compliance Officer. The position offers a dynamic opportunity to contribute to a global organization with over $90 billion in assets under management.
The firm operates across private equity, credit, and related strategies, with a sector-focused approach targeting technology, industrials, and consumer businesses. With a strong track record of operational transformation and long-term strategic partnerships, the firm maintains offices across North America, Europe, the Middle East, and Asia.
Key Responsibilities:
* Support regulatory filings including SEC Forms ADV and PF, and manage regional licensing and registrations.
* Monitor employee trading and related activities for compliance with internal policies.
* Participate in internal and external audits and reviews of the compliance program.
* Conduct due diligence on investors and counterparties as part of KYC and AML processes.
* Draft corporate governance documents including resolutions and authorities.
* Maintain records of entities and updates to directors and officers.
* Collaborate with outside counsel to track key terms across transactions, financing, and employment arrangements.
* Assist with the review and execution of non-disclosure agreements.
* Contribute to the development and refinement of compliance policies, procedures, and the Code of Ethics.
* Design and deliver compliance training programs.
* Work closely with the legal team to enhance monitoring list processes and stay current on regulatory developments.
* Provide legal support to portfolio companies as needed.
Qualifications:
* Bachelor's degree with strong academic credentials.
* 2-5 years of experience in private equity, investment management, banking, broker-dealer, or financial services.
* Exceptional written, verbal, and presentation skills.
* Highly organized, detail-oriented, and analytical.
* Demonstrated integrity and high ethical standards.
* Ability to work independently and collaboratively in a fast-paced environment.
* Proficiency in Microsoft Office (Excel, Word, PowerPoint, Outlook).
* Eagerness to adopt technology to support business goals.
Compensation and Benefits:
* Analyst level: $80,000-$120,000 base salary
* Associate level: $120,000-$150,000 base salary
* Performance-based incentives
* Comprehensive medical, dental, and vision coverage
* Employee Assistance Program
* Generous paid time off and holiday pay
* 401(k) retirement plan
Additional perks including daily lunch and snacks, parking benefits, discounts, and professional development opportunities
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