What’s this job all about?

A very successful money management firm, based in Los Angeles, seeks an experienced Compliance Professional (CP). The company offers a variety of investment strategies and funds for institutions and high-net-worth clients.

This is a terrific job for a Compliance professional with over five years of investment management experience who wants to work at top firm that is small enough to get noticed and appreciated for your efforts and hard work.

The CP will work with a small Compliance team, have close interaction with the Chief Compliance Officer (who is really great), and involved with a an array of important responsibilities.

The duties will interesting and varied. They include performing advertising, sales literature, RFP and marketing material reviews. The CP will assist with examinations, developing policies and procedures, regulatory filings, sub-adviser compliance certifications, due diligence questionnaires, and oversight of the proxy voting process.  The CP will assist the CCO with compliance policy development, compliance training, and performance of the annual 206(4)-7 and 38(a)-1 compliance program reviews.

Specifically, what you’ll be doing on a daily basis (basically, a little bit of everything):

  1. Conduct reviews of marketing materials to ensure compliance with regulatory requirements
  2. Coordinate across multiple internal departments to compile and complete monthly and quarterly sub-advised funds certifications and client due diligence questionnaires
  3. Assist with the compliance training program
  4. Assist in the performance of the annual 206(4)-7 and 38(a)-1 compliance program reviews
  5. Assist with preparation of materials for the mutual fund Board of Directors
  6. Manage the proxy voting process
  7. Work with third party consultant to scope and conduct email surveillance including targeted searches as needed/requested; gathering/preparing scoping documents; reviewing the results and escalating as needed
  8. Maintain the Firm’s Custodian & Fund Administration Oversight document archiving.
  9. Prepare and review FINRA Broker Checks, OFAC & AML checks for new brokers and annual reviews; Manage the OFAC monitoring process for separate account clients and brokers, including reviewing any alerts
  10. Conduct ad-hoc reporting and testing including reporting of PM/Partner shares in FPA funds to management, forensic testing of historical purchase timing/price for performance and non-performance based funds, and respond to Section 793 requests


What we’d love to see in a candidate:

  1. Bachelor’s degree with 5 plus years of relevant compliance experience
  2. 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
  3. Quick learner and a self-starter who takes initiative and a proactive approach to work including the ability to think ahead and “connect the dots”
  4. High level of integrity with ability to work independently and exercise appropriate judgement including knowing when to escalate matters to the CCO or other compliance team members
  5. Strong analytical and problem-solving skills with meticulous attention to detail
  6. Excellent verbal and written communications skills with the ability to develop and maintain good working relationships including the ability to foster cooperation, but also professionally assertive when necessary to complete tasks
  7. Excellent organizational and time management skills with the ability to prioritize and manage multiple tasks, projects and requests from a variety of sources with varying priorities and deadlines


Please email resumes to Jack Kelly at JKelly@ComplianceSearch.com.

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