Senior Enterprise Compliance Analyst in Investment Management industryWe're seeking an experienced Compliance Analyst with a financial services industry background to join this notable investment management firm in LA!
Look forward to surrounding yourself with the best of the best in the field and apply now!Who You Are* 3-7 years in a compliance role within the financial services industry* Strong understanding of regulatory, code of ethics, marketing review, and MNPI functions* Experience working in a large cap company and SEC regulated environment* Proficiency with Microsoft Office, specifically Word, Excel, and OutlookWhat Youll Do* Manage compliance in a generalist capacity, maintaining and updating the firm-wide restricted list* Assist in Code of Ethics, Broker-Dealer oversight, ADV filings, annual testing, and marketing review* Multi-task effectively and manage deadlines while assisting with ad-hoc testing and tasks* Build strong collaboration with team members and work side-by-side with various departmentsWhy work here?* Inspiring leadership: learn from the brightest accountants in the industry!* Competitive compensation: Enjoy competitive base salaries, bonuses, and benefits* Room for growth: Robust accounting teams which room for advancement within
– long tenure on teams!Please send your resume to mdavis@provenrecruiting.com if you have the requisite experience along with a passion to solve problems and eliminate inefficiencies.