A global asset management firm based in LA is looking to hire a Senior Investment Compliance Officer to their portfolio compliance team. The Compliance Officer will work cross -functionally with IT- Trading, Data Management, and the Investment Compliance teams to monitor daily trading activity and test rules within the compliance monitoring system.
Other responsibilities :
-Participate in compliance projects to implement compliance rules and ensure adherence to regulations
-Identify and resolve issues related to trading activity
-Participate in internal and external audits of controls
Preferred Qualifications :
-Atleast 5 years' relevant compliance experience
-Strong working experience with compliance monitoring systems such as Bloomberg and/or Charles River Investment Management
-Knowledge of the Investment Company Act of 1940 & UCITs
This firm is known for their amazing company culture, offers competitive salary, a hybrid working schedule, and is based in sunny downtown LA! Apply now!