Our client, a leading global investment firm, is looking for a Compliance Contractor for a six month contract, immediate start.
03rd May, 2022
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 & Synthesis
Based in Los Angeles, the Temporary Employee will assist in the Enterprise Compliance team with administrative responsibilities related to the Code of Ethics and Marketing functions for our client.
Reviewing and reconciling brokerage account statements;
Liaising with staff members across the organization;
Assisting with maintaining the personal trading system records including employee disclosures, certifications and reporting;
Assisting with miscellaneous ad-hoc tasks/responsibilities, as needed.
1-2 years of experience with compliance and/or financial services industry a plus
General knowledge of SEC regulatory framework and understanding of Material Non-Public Information (“MNPI”)
Proven ability to manage tasks with competing priorities and deadlines
Proficient in Microsoft Office applications including, Word, Excel, and Outlook.