nn COMPLIANCE OFFICER nn nnLocation: Los Angelesnn nn nn nnOur client, a high yield asset manager, is seeking a Compliance Officer to assist the Chief Compliance Officer (CCO) in overseeing the overall compliance and regulatory affairs of the firm.
The ideal candidate will be responsible for ensuring the business complies with regulatory environments, ethical business practices, and firm policies.
This position reports directly to the CCO.nn nn n nn nn Responsibilities nn nn nn nn nn nn
· Manage firm’s overall compliance testing programnn nn
· Supervise and perform oversight and testing of firm’s compliance program, including brokerage, best execution, allocation, insider trading and related matters.nn nn
· Perform manual tests as needed in areas such as ERISA party in interest investmentsnn nn
· Conduct research with respect to compliance and regulatory issues; develop new compliance initiativesnn nn
· Review and approve external communications including marketing materials; prepare responses to client compliance questionnaires and other compliance diligence requestsnn nn
· Prepare and maintain filing of firm’s Form ADV and assist with preparation and review of various other regulatory filingsnn nn
· Aid firm in being “exam ready” for any future SEC examsnn nn
· Serve as resource for investment professionalsnn nn
· Perform employee trainingnn nn n nn nn Requirements nn nn n nn nn
· 7+ years of compliance experience at an investment adviser or relevant regulatornn nn
· Bachelor’s degree or equivalent experience requirednn nn
· Advanced degree preferrednn nn
· Ability to comprehend and apply other applicable laws and regulations, including those governing ERISA clients and operations in non-U.S.
jurisdictionsnn nn
· Sincere desire to work in compliance capacitynn nn
· Demonstrated leadership skillsnn nn
· Individual will need to be comfortable handling full suite of compliance responsibilities
– taking swings at tasks that may be below their paygrade, and those that are above their paygradenn nn
· Proactive attitude and ability to integrate oneself into an organization is imperative to the success of this hirenn nn
· Individual should be solutions-oriented, working towards common goal of the firmnn nn n nn nnONLY SOUTHERN CALIFORNIA CANDIDATES WILL BE CONSIDERED FOR THIS ROLE.
THANK YOU!nn nn nn nn nn