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Senior Compliance analyst

  • Job type: Permanent
  • Location: Los Angeles, California
  • Salary: US$90000 - US$120000 per year
  • Job reference: 271131/002_1557950896
  • Sector: Selby Jennings, Compliance
  • Date posted: 15/05/2019

A leading global asset management firm that manages one of the largest mutual fund complexes in the United States is in search of a Senior Compliance Analyst to join a team of investment compliance professionals in the firm's downtown Los Angeles office. You will be working with trading, data management, portfolio management and others within investment compliance to review daily trading activity and identify and resolve any associated compliance issues. If you are looking to work for a growing, successful firm in a fast pace environment, then this is definitely a great opportunity for you!


  • Review and interpret all governing documents, including but not limited to Investment Management Agreements (IMA), Prospectuses, Statement of Additional Information (SAI), and Fund Declarations.

  • Identify and resolve any issues/concerns with investment guideline interpretation.

  • Participate in the new account setup and guideline change process.

  • Review EOD portfolio compliance results, identify and resolve any active or passive compliance issues.

  • Work with Portfolio Management, Trading, Data Management and others within Investment Compliance to determine trade suitability, review daily trading activity, and identify and resolve any associated compliance issues.

  • Review and certify monthly and quarterly compliance questionnaires.

  • Undertake special compliance-related projects as assigned.

  • Identify ways of creating efficiencies/improving processes to the Investment Compliance program using best practices.

  • Effectively participate in internal and external audits of controls and associated testing

Minimum Qualifications

  • Bachelor's degree with 5+ years of relevant experience; knowledge and use of CRD preferred

  • Strong knowledge of investment guidelines

  • Working knowledge and understanding of capital markets; experience with fixed income, equity and derivative instruments

  • Solid knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Exchange Act of 1934, and other regulatory requirements

  • A self-starter who takes initiatives and works independently; a strong team player

  • Strong analytical skills with excellent attention to detail

  • Excellent verbal and written communications skills

  • Excellent organizational skills and the ability to prioritize multiple requests from a variety of sources

  • Proficiency in Bloomberg and other major software applications

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