Senior Compliance Analyst
- Competitive Base/Bonus
- Los Angeles, CA, USA
- Permanent, Full time
- First Pacific Advisors
- 10 Oct 18
FPA's is looking for a team-oriented Senior Compliance Analyst to become a key member of their Compliance Group. The Senior Compliance Analyst will be responsible for supporting day-to day compliance monitoring responsibilities of the Compliance Department, including performing marketing reviews, assisting with coordination, reviews, and responses to monthly and quarterly sub-adviser compliance certifications and due diligence questionnaires (DDQs). This person will also be responsible for oversight of the proxy voting process and for assisting the CCO with compliance policy development, compliance training, and performance of the annual 206(4)-7 and 38(a)-1 compliance program reviews.
Please email resume to email@example.com. All email submissions and inquiries must include "Senior Compliance Analyst - efc" in the subject line for consideration.
Based in West Los Angeles, the primary responsibilities of the Senior Compliance Analyst include:
- Conduct reviews of marketing materials to ensure compliance with regulatory requirements
- Coordinate across multiple internal departments to compile and complete monthly and quarterly sub-advised funds certifications and client due diligence questionnaires
- Assist with the compliance training program
- Assist in the performance of the annual 206(4)-7 and 38(a)-1 compliance program reviews
- Assist with preparation of materials for the mutual fund Board of Directors.
- Manage the proxy voting process
- 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
- Maintain the Firm’s Custodian & Fund Administration Oversight document archiving
- 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
- 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
- Assist with Compliance Calendar Management and Special Projects as needed
Qualifications, Skills, and Knowledge
- Bachelor’s degree with 5-7+ years of relevant compliance experience
- 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
- Quicker learner and a self-starter who takes initiative and a proactive approach to work including the ability to think ahead and “connect the dots”
- 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
- Strong analytical and problem-solving skills with meticulous attention to detail
- 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
- 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
- Proficiency in Microsoft Word, Excel, Outlook, and Adobe Acrobat DC. Experience with Charles River Development, Global Relay (email surveillance) or PTCC (personal trading system) systems a plus
First Pacific Advisors (FPA) is a Los Angeles-based institutional money management firm, employing a disciplined approach to value investing, prudently seeking superior long-term returns while maintaining a focus on capital preservation. FPA manages approximately 31 billion across multiple strategies and has about 87 employees.
FPA is an Equal Opportunity Employer