Regulatory Compliance Analyst Regulatory Compliance Analyst …

Hamlyn Williams
in Los Angeles, CA, United States
Permanent, Full time
Be the first to apply
Competitive
Hamlyn Williams
in Los Angeles, CA, United States
Permanent, Full time
Be the first to apply
Competitive
Regulatory Compliance Analyst
An Asset Management client in the Los Angeles area is looking for an experienced RIA Regulatory Compliance professional to join its team. This role will sit within an existing team located in L.A but will also support and work with Compliance professional across the world in multiple locations. You will report directly in to the Chief Compliance Officer and be required to primarily support the administration of the Firm's Compliance Monitoring Program.

Responsibilities:
  • Assist non-US offices with various aspects of their local programs, when required
  • Help to analyze new regulations, alerts, sample exam lists, enforcement actions
  • Assist in administration of regulatory examinations when required
  • The CMP role provided assurance on day-to-day operations which is the core of the group's regulatory mission
  • Other duties as required by the CCO
Requirements:
  • 2+ years' worth of Regulatory Compliance experience, in an RIA setting or at an Asset Management firm
  • The ability to administer the Compliance Monitoring Program, but also understanding the policy rationale behind the tests and applying that knowledge to the tests or revising the tests as needed
  • Bachelor's Degree
If this opportunity interests you, please get in touch!
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