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Compliance Associate

  • Job type: Permanent
  • Location: Los Angeles Metro Area, California
  • Salary: Bonus and benefits
  • Job reference: 277941/003_1551730441
  • Sector: Legal, Selby Jennings
  • Date posted: 04/03/2019

Compliance Associate; Global RIA; Los Angeles, CA

An RIA with an international presence is seeking an independent compliance associate to support the firm's compliance program and work with the chief compliance officer directly. The role will handle the majority of the day-to-day compliance for the firm and work with their London office as well.This opportunity requires previous RIA experience (work with FINRA and SEC) and has a strong preference for previous work with the FCA or other global regulatory bodies. This role would require experience with Form ADV, Form PF, internal employee monitoring, and marketing compliance.

In addition, an ideal candiate will have experience with all the basic trade tools (Word, Excel, Outlook, ComplySci, and Smarsh), and exercise strict discretion regarding confidential company matters. You will excel both as an independent self-starter and as a communicative team-player as needed, carefully balancing multiple vital functions across the compliance space.

Requirements:

  • Minimum of 3 years experience in RIA compliance

  • Work with FCA, SEC, FINRA, or any other regulatory experience

  • Work with Form ADV, Form PF, and other relevant RIA compliance filings

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