Senior Compliance Associate/Officer

3 weeks ago


Los Angeles, United States CareerBuilder Full time

The candidate should have at least 3-5+ years of experience, preferably at a private fund or major consulting firm. The individual must be very attentive to details, have strong writing skills, be able to craft compliance policies and procedures, and excel at project management.

Will be working as part of a 2 person compliance team.

Responsibilities:
Develop, test, and maintain policies and procedures for applicable regulatory and compliance requirements.
Manage and monitor the firms compliance software in order to ensure adherence with the firms Code of Ethics and facilitate employee onboarding.
Assist reviews of marketing materials, valuation documents, and expense allocations.
Oversee the firms compliance obligations regarding privacy laws, including GDPR and CCPA/CPRA.
Manage and assist with the firms compliance risk assessment and proactively track potential changes.
Oversee regulatory filings and registrations including Form ADV and Form PF, among others.
Prepare for and assist with examinations or investigations conducted by regulators or other external parties.
Maintain current knowledge of investment advisory laws, regulations, enforcement actions, and regulatory guidance.

Experience and Skills:
Bachelors degree in business, finance, or relevant discipline preferred.
Knowledge of federal and state securities and investment laws, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, and the Securities Exchange Act of 1934.
Outstanding written and oral communication skills, including the ability to liaise across multiple departments to facilitate implementation and development of the compliance program and risk assessment.

#J-18808-Ljbffr



  • Los Angeles, United States Capital Group Companies Full time

    I can succeed as a Senior Compliance Associate at Capital Group. The Code of Ethics Team is dedicated to helping associates observe exemplary standards of integrity, honesty, and trust. It sets out standards for our personal conduct, including pers Associate, Compliance, Compliance Manager, Senior, Operations, Technology


  • Los Angeles, United States KKCS Full time

    Job DescriptionJob DescriptionWHO IS KKCSKal Krishnan Consulting Services, Inc. (KKCS), a California Corporation, is a full-service construction management and program management organization. The firm has grown steadily in size and capability since its founding in 1987, and today employs more than 85 professionals in our regional offices. KKCS has attracted...


  • Los Angeles, United States KKCS Full time

    Job DescriptionJob DescriptionWHO IS KKCSKal Krishnan Consulting Services, Inc. (KKCS), a California Corporation, is a full-service construction management and program management organization. The firm has grown steadily in size and capability since its founding in 1987, and today employs more than 85 professionals in our regional offices. KKCS has attracted...

  • VP Compliance

    1 week ago


    Los Angeles, United States Conselium Compliance Search Full time

    We are representing a rapidly growing multi-location healthcare business in their search for a VP Compliance in the Greater Los Angeles area. Why Join Us You will be joining an impressive leadership team as the business works towards increasing market share, while focusing on maintaining a robust well-funded compliance program Equity opportunity at point of...

  • VP Compliance

    2 weeks ago


    Los Angeles, United States Conselium Compliance Search Full time

    We are representing a rapidly growing multi-location healthcare business in their search for a VP Compliance in the Greater Los Angeles area.Why Join UsYou will be joining an impressive leadership team as the business works towards increasing market share, while focusing on maintaining a robust well-funded compliance programEquity opportunity at point of...

  • Compliance Officer

    1 week ago


    Los Angeles, United States Stealth Fintech Startup Alpha Full time

    WE ARE HIRING!!! ✨We are seeking a diligent and knowledgeable Compliance Officer to join our team. The Compliance Officer will be responsible for developing, implementing, and overseeing the company's compliance program to ensure adherence to relevant laws, regulations, and internal policies. The ideal candidate will have a strong understanding of...

  • Compliance Officer

    1 week ago


    Los Angeles, United States Stealth Fintech Startup Alpha Full time

    WE ARE HIRING!!! 😎✨We are seeking a diligent and knowledgeable Compliance Officer to join our team. The Compliance Officer will be responsible for developing, implementing, and overseeing the company's compliance program to ensure adherence to relevant laws, regulations, and internal policies. The ideal candidate will have a strong understanding of...

  • Compliance Officer

    7 days ago


    Los Angeles, United States Stealth Fintech Startup Alpha Full time

    WE ARE HIRING!!! ????? We are seeking a diligent and knowledgeable Compliance Officer to join our team. The Compliance Officer will be responsible for developing, implementing, and overseeing the company's compliance program to ensure adherence to relevant laws, regulations, and internal policies. The ideal candidate will have a strong understanding of...

  • VP Compliance

    4 weeks ago


    Greater Los Angeles, United States Conselium Compliance Search Full time

    We are representing a rapidly growing multi-location healthcare business in their search for a VP Compliance in the Greater Los Angeles area.Why Join UsYou will be joining an impressive leadership team as the business works towards increasing market share, while focusing on maintaining a robust well-funded compliance programEquity opportunity at point of...

  • VP Compliance

    3 weeks ago


    Greater Los Angeles, United States Conselium Compliance Search Full time

    We are representing a rapidly growing multi-location healthcare business in their search for a VP Compliance in the Greater Los Angeles area.Why Join UsYou will be joining an impressive leadership team as the business works towards increasing market share, while focusing on maintaining a robust well-funded compliance programEquity opportunity at point of...


  • Los Angeles, United States Conselium Compliance Search Full time

    We are representing a large global organization in their search for a Compliance Contracts Manager to work on a hybrid basis in the Greater Los Angeles CA area. Why Join Us:Fast growing and stable organization with ongoing career growth opportunities via organic growth and acquisitionsBusiness involved in applications including cutting edge technology and...


  • Greater Los Angeles, United States Conselium Compliance Search Full time

    We are representing a large global organization in their search for a Compliance Contracts Manager to work on a hybrid basis in the Greater Los Angeles CA area. Why Join Us:Fast growing and stable organization with ongoing career growth opportunities via organic growth and acquisitionsBusiness involved in applications including cutting edge technology and...


  • Greater Los Angeles, United States Conselium Compliance Search Full time

    We are representing a large global organization in their search for a Compliance Contracts Manager to work on a hybrid basis in the Greater Los Angeles CA area. Why Join Us:Fast growing and stable organization with ongoing career growth opportunities via organic growth and acquisitionsBusiness involved in applications including cutting edge technology and...

  • Compliance Officer

    1 week ago


    Los Angeles, California, United States Xsolla Full time

    We are seeking a meticulous and detail-oriented Compliance Officer to ensure that our products maintain all necessary operating licenses and adheres to all relevant laws, regulations, and industry standards. The Compliance Officer will play a critical role in identifying potential compliance risks related to licensing requirements, implementing policies and...

  • Compliance Officer

    5 days ago


    Los Angeles, United States Xsolla Full time

    We are seeking a meticulous and detail-oriented Compliance Officer to ensure that our products maintain all necessary operating licenses and adheres to all relevant laws, regulations, and industry standards. The Compliance Officer will play a critical role in identifying potential compliance risks related to licensing requirements, implementing policies and...

  • Compliance Officer

    3 days ago


    Los Angeles, United States Xsolla Full time

    We are seeking a meticulous and detail-oriented Compliance Officer to ensure that our products maintain all necessary operating licenses and adheres to all relevant laws, regulations, and industry standards. The Compliance Officer will play a critical role in identifying potential compliance risks related to licensing requirements, implementing policies and...

  • Compliance Officer

    2 weeks ago


    Los Angeles, United States Tandym Group Full time

    A social services organization in California is looking to add a new Compliance officer to join their growing team in Los Angeles. About the opportunity: Schedule: Monday to Friday Hours: Standard business Setting: office-based (role is 100% onsite) Responsibilities: The Compliance Officer will: Develop and implement a comprehensive compliance program...

  • Senior Associate

    5 days ago


    Los Angeles, United States Westmount Asset Management Full time

    Job DescriptionJob DescriptionSalary: Highly competitive compensation and benefits.About WestmountSince we established Westmount in 1990, our vision has been clear. Be an incubator for innovative thinking, whether that’s being one of the earliest firms to adopt a business model that puts clients’ interests first, embracing alternative investments like...


  • Los Angeles, United States Metrolink Full time

    PURPOSE OF POSITION The Compliance Officer I will monitor contractor performance to ensure the contractor meets specified standards including Standard Operating Procedures, efficiency testing and training. In addition, this position performs quality assurance measures necessary t...


  • Los Angeles, United States Kindeva Drug Delivery Full time

    Senior Manufacturing Compliance Engineer 19901 Nordhoff St, Northridge, CA 91324, USA Req #1209 05 April 2024 ROLE SUMMARY The Senior Manufacturing Compliance Engineer position is recognized as an expert internally in the principles and application of quality assurance. This role offers a unique opportunity to contribute your expertise and play a critical...