Compliance Officer

4 weeks ago


santa monica, United States Larson Maddox Full time

We are currently partnered with a leading Private Equity Firm seeking a detail-oriented Compliance Generalist to join their dynamic team.


Compliance Officer Key Responsibilities:

  • Conduct comprehensive reviews of marketing materials to ensure compliance with regulatory requirements and internal policies.
  • Assist in the preparation and submission of regulatory filings, ensuring accuracy and timeliness.
  • Support the development, implementation, and maintenance of the firm's Code of Ethics, ensuring adherence across all levels.
  • Perform compliance testing to identify potential risks and areas for improvement.
  • Collaborate with various teams to provide guidance on compliance-related issues and best practices.
  • Monitor changes in regulations and industry standards, recommending adjustments to internal policies as necessary.
  • Prepare reports and presentations for senior management regarding compliance findings and recommendations.


Compliance Officer Qualifications:

  • Bachelor’s degree in Finance, Business, Law, or a related field.
  • 3+ years of experience in compliance, risk management, or a similar role within the financial services industry.
  • Strong knowledge of regulatory requirements affecting private equity firms.
  • Excellent analytical and problem-solving skills.


Compliance Officer Benefits:

  • Competitive salary and performance-based bonuses.
  • Comprehensive benefits package.
  • Opportunities for professional development and career advancement.
  • A collaborative and inclusive work environment.


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