Director, Compliance
4 weeks ago
Director, Compliance & Risk
PRIOR EXPERIENCE AT AN INVESTMENT MANAGEMENT FIRM IS REQUIRED.
About the Firm
Firm Mission
“Achieving Client Success through Research and Technology”
Los Angeles Capital, the “Firm”, is a global equity manager of assets for leading institutions around the world. The Firm is recognized as a pioneer in dynamic equity management, utilizing proprietary technology to engineer equity portfolios that adapt to today’s equity market. The Firm’s senior investment professionals have worked together for three decades developing models for measuring and forecasting return and risk of global equity securities. The Firm manages approximately $31 billion as of December 1, 2023, across a wide variety of public equity strategies designed to meet institutional client return and risk objectives. The Firm has been ranked for seven years in a row by Pensions and Investments as one of the “Best Places to Work in Money Management.” The Firm’s working environment places a strong focus on teamwork and values work-life balance. The Firm offers a competitive compensation package that includes health care plans, 401(k), and top-tier benefits. The Firm is 100% employee-owned through a holding company structure and seeks to retain and motivate employees’ long term. Los Angeles Capital firmly believes the quality and commitment of the individuals are vital to the success of the Firm, ensuring that client expectations are exceeded.
Position Overview
Reporting to the Chief Compliance Officer, the Director, Compliance & Risk will be a senior member of the Compliance and Risk team and manage compliance and risk staff. The Director, Compliance & Risk will partner with the CCO, in-house counsel, and managers across the firm to ensure the company and its employees comply with regulatory requirements, client guidelines, and internal policies and procedures. They will continually evaluate the effectiveness of internal controls and recommend and implement improvements to the compliance and operational risk program. The department’s goal is to promote the highest standards of ethical and professional conduct across the firm and to develop policies, procedures, and testing reasonably designed to identify and prevent violations of securities laws.
Key Job Responsibilities
The following duties are generally representative of the nature of work and are not necessarily all inclusive.
- Monitor and interpret changes in global financial regulations and ensure the firm’s practices comply
- Identify and monitor compliance and operational risks across the organization, conduct assessments, and develop strategies to address and mitigate those risks
- Create, update, and implement compliance policies and procedures to align with current regulations and industry best practices.
- Design and conduct testing of policies and procedures across departments to identify and manage risks
- Proactively identify new technologies or efficiencies in workflows to improve the program
- Assess and provide portfolio guideline compliance guidance to portfolio management and other members of the Compliance team
- Prepare and submit regulatory filings and reports and ensure accurate and timely documentation of compliance activities
- Provide training and support to staff on compliance issues, fostering a culture of compliance within the firm
- Investigate compliance breaches or issues, and implement corrective actions and preventive measures
- Actively engage with clients and prospects
- Represent compliance and risk on various firm sub-committees
Skills and Knowledge Required
- 12+ years of experience in compliance, legal, or regulatory roles within the financial services industry, preferably with a focus on investment advising.
- Bachelor’s degree in finance, law, business, or a related field
- Deep understanding of relevant regulations and industry standards, such as the Investment Advisers Act of 1940 and securities regulations
- Strong analytical skills, attention to detail, and the ability to interpret complex regulations and translate them into actionable policies
- Superior skills in writing (concise and clear)
- Excellent oral, organizational, and management skills
- Demonstrated pattern of success in duties and growing responsibilities
Desired Competencies
- Leadership – Proven leadership and management abilities, with experience mentoring and guiding compliance teams
- Analysis – Comprehends issues, draws conclusions, evaluates alternatives, and makes sound judgments and recommendations in a timely manner
- Coordination and Collaboration – Initiates and/or joins problem solving efforts and projects with other team members and departments
- Creativity – Suggests or applies new ways of addressing ongoing challenges, issues, and workflows
- Dependability – Capable of working independently, meeting reasonable deadlines, and accepting responsibility for his/her own actions
- Communication – Excellent verbal and written communication skills, with the ability to convey complex ideas clearly and motivate teams
- Decision-Making Skills – Proven capacity to make informed decisions swiftly and effectively
- Integrity – Demonstrating honesty, transparency, and ethical behavior in all actions and decisions
- Adaptability – Flexibility in handling change and uncertainty, with a proactive approach to problem solving.
This is a hybrid position based in Los Angeles, CA which requires weekly attendance.
Apply today
Los Angeles Capital is an SEC registered investment adviser and required to track certain political contributions under rule 206(4)-5. Therefore, you will be required to disclose your prior political contributions.
Los Angeles Capital is an Affirmative Action/Equal Opportunity Employer committed to providing employment opportunity without regard to an individual’s race, color, religion, age, gender, gender identity, sexual orientation, national origin, ancestry, marital status, medical condition, genetic information, veteran status or disability.
For more information about the company, please refer to our website at .
Personnel/Applicant Privacy Notice
Los Angeles Capital is committed to safeguarding the privacy of our personnel and job applicants. Los Angeles Capital does not "sell" (as that term is defined in the CCPA) your personal information. Please see the privacy notice for details: .
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