Senior Analyst/AVP, Compliance (Leading Global Investment Manager)
Our client, a global investment manager, is looking for a Compliance Professional to join their LA office.
22nd April, 2021
Our client is a leader among global investment managers specializing in alternative investments, with $140 billion in assets under management as of September 30, 2020. The firm emphasizes an opportunistic, value-oriented and risk-controlled approach to investments in distressed debt, corporate debt (including high yield debt and senior loans), control investing, convertible securities, real estate and listed equities. Headquartered in Los Angeles, the firm has over 1,000 employees and offices in 19 cities worldwide.
Job Description & Responsibilities
Based in downtown Los Angeles, the Senior Compliance Analyst/AVP will assist in the Enterprise Compliance team in overseeing the Regulatory, Code of Ethics, Marketing Review and MNPI functions.
A Compliance Generalist role in the Enterprise Compliance Team;
Reviewing and approving strategy conflicts;
Maintaining and updating the firm-wide restricted list;
Assisting in Code of Ethics;
Assisting in Broker-Dealer oversight;
Assisting in Regulatory tasks (i.e. ADV Filings, Annual Testing, Various Filings);
Assisting in Marketing Review; and
Miscellaneous tasks/responsibilities, as needed.
3-5 years of compliance and/or paralegal experience within the financial services industry;
General knowledge of SEC regulatory framework and understanding of Material Non-Public Information (“MNPI”)
Proven ability to manage tasks with competing priorities and deadlines; and
Proficient in Microsoft Office applications including, Word, Excel, and Outlook.