A top tier investment management firm in Santa Monica, CA is looking for a Senior Compliance Associate to join their team. The Senior Compliance Associate will work with the Chief Compliance Officer to maintain and implement the firm's compliance program. This role will be fully onsite in Santa Monica.
Responsibilities :
- Assist with regulatory filings
- Monitor employee trading and ensure compliance
- Participate in internal and external audits
- Assist with policies and procedures / Code of Ethics
- Draft and implement compliance training program
Requirements
- 3+ years of relevant compliance experience
- Prior experience in Private Equity strongly preferred
- Bachelor's Degree
- Familiarity with ComplySci a plus!
