Overview: One of the largest independently-owned global investment management firms is hiring for a Compliance Officer to sit in their Los Angeles Office. This firm offers a full array of investment strategies and products, including fixed income, equity, and balanced portfolios, as well as U.S. and offshore commingled funds.
Job Responsibilities:
- Perform pre-trade and post-trade compliance reviews to ensure compliance with account, firm, and regulatory guidelines
- Draft policy and manage testing
- Perform regular and ad-hoc reviews to identify and resolve client guideline, regulatory, and internal policy violations
- Interpreting guidelines and working with the IT Department to build custom rules
- Address and resolve inquiries regarding compliance issues from employees and clients
- Complete other departmental duties as assigned
Qualifications:
- 3-5 years of relevant experience at a registered investment adviser/investment management firm
- A fundamental understanding of the inner workings of pre-trade compliance functionality
- Ability to read and interpret governing compliance documents such as Guidelines, IMAs, and Prospectus/SAI
- Ability to work with minimal supervision to accomplish objectives and priorities
- Detail-oriented with the ability to multitask and excellent organizational and project management skills
- Strong written and verbal communication skills
- Proficiency in Excel and strong data analysis skills
- Ability to work collaboratively as part of a team and foster strong culture of compliance
- Bachelor's degree required
