Regulatory Compliance Officer
7 days ago
Regulatory Compliance Officer
Job Location(s)
US-CA-Los Angeles
Job ID
2024-2075
Category
Legal/Compliance
Department
Compliance
Type
Regular Full-Time
Position Summary
The AVP/VP, Regulatory Compliance Officer will report to the firm's Broker-Dealer Chief Compliance Officer and be responsible for assisting with a variety of compliance tasks including, but not limited to: (i) reviewing marketing communications and presentations; and (ii) supervising the activities of the broker-dealer, including but not limited to conducting trainings for sales staff, and assisting with branch office inspections. The qualified candidate may also be asked to assist with other general compliance matters. This is a hands-on position in compliance within a global asset management organization of over 600 employees.
Essential Duties- Have a strong understanding of SEC, CFTC, FINRA and other relevant regulatory rules, regulations and guidelines as it pertains to marketing and advertising, especially the SEC's new marketing rule;
- Review marketing presentations and communications, social media content, media appearances, webinar content, RFPs across numerous product lines including registered and unregistered funds and segregated accounts consistent with U.S. and international rules and guidance;
- Have a strong understanding of FINRA rules as they pertain to broker dealers, including rules regarding advertising and supervision.
- Develop or modify policies and procedures and desktop guidance with respect to marketing and advertising in response to changing regulatory requirements and/or changes to the business.
- Prepare and conduct trainings for sales teams and other employee populations as appropriate.
- Attend industry conferences and webinars relevant to this position and general compliance topics.
- May assist other Compliance Officers in other general compliance matters; and
- Effectively manage projects and other staff, as necessary.
- Bachelor's Degree 6+ years of relevant compliance related work experience.
- Solid understanding of the securities industry and the regulatory requirements related to registered investment companies and the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, and the Securities Exchange Act of 1934 and the rules and regulations thereunder, including FINRA and SEC rules regarding marketing and advertising.
- Prior compliance experience with registered investment advisers, registered investment companies, and/or broker-dealers.
- Possess current Series 7 and Series 24 Licenses.
- Excellent interpersonal skills; demonstrated success in building and maintaining strong internal and external relationships.
- Strong organizational and time management skills; ability to effectively identify and prioritize the most critical tasks.
- Excellent written and verbal communication and presentation skills and attention to detail.
- A desire to continually improve processes by researching and implementing best practices.
- Strive to continuously learn, keeping abreast of the changing regulatory and business landscape with an inquisitive mind.
- Exercise good judgment and maintains strict confidentiality.
- A team player with the ability and willingness to pitch in as needed in areas outside one's own core expertise.
- Ability to comprehend complex regulations and apply to practical use cases.
- Proficiency in Microsoft Office applications (Word, Excel, Outlook).
- Previous experience either as a paralegal or an attorney is a plus.
- Additional FINRA licenses.
- Subject matter expertise in specific compliance matters, in addition to those noted above.
- Project management skills a plus.
Estimated Compensation:
Base Salary: For CA based position, the base salary range is $115K-$150K. This is an anticipated range and represents base salary only.
Other Compensation: Eligible to be considered for an annual discretionary bonus
Benefits: Eligible for TCW's comprehensive benefits package. See more information here.
#LI-DG1
-
Compliance Officer
6 days ago
Los Angeles, California, United States The TCW Group Full timeJoin The TCW Group, a global asset management organization with over 600 employees, as a Compliance Officer - Regulatory Expert. This hands-on role is responsible for ensuring adherence to various regulatory rules and guidelines.Key Responsibilities:Develop and implement policies and procedures to address changing regulatory requirements.Conduct thorough...
-
Compliance Officer for Regulatory Excellence
2 days ago
Los Angeles, California, United States Mens Health Foundation Full timeWe're seeking a meticulous and detail-oriented Compliance Officer to support our efforts in maintaining the highest standards of compliance, protecting sensitive information, and ensuring regulatory adherence.Company OverviewMens Health Foundation is dedicated to promoting growth and development within our organization. We envision a world where inequity and...
-
Los Angeles, California, United States Mens Health Foundation Full timeWe are seeking a highly motivated Compliance Coordinator to join our team at the Men's Health Foundation. As a key member of our organization, you will play a pivotal role in ensuring that our operations align with industry standards and regulatory requirements.About UsMens Health Foundation is a leading organization dedicated to promoting health equity...
-
Regulatory Compliance Specialist
2 days ago
Los Angeles, California, United States Concept Laboratories Full timeJob OverviewWe are seeking a detail-oriented Regulatory Assistant to join our team at Concept Laboratories in Pleasant Prairie, WI.This full-time position offers the opportunity to work with a growing organization in the rapidly expanding personal care and skincare industry.The ideal candidate will have 1-2 years of experience in cosmetic or contract...
-
Regulatory Compliance Expert
7 days ago
Los Angeles, California, United States Mens Health Foundation Full timeCompany Overview:Mens Health Foundation is a leading organization dedicated to promoting health equity and providing accessible healthcare services.We are committed to fostering a culture of acceptance, inclusivity, and excellence in all our endeavors.Salary:$66,560 - $85,000 Yearly SalaryJob Description:This role will involve working closely with the Chief...
-
Chief Compliance Officer
2 weeks ago
Los Angeles, United States Wealth Management Full timeChief Compliance OfficerLocation: Century CityAbout the CompanyThe Company is a newly registered investment adviser, founded by industry leaders and seasoned practitioners who have built and operated successful single-family offices and wealth management firms serving ultra-high-net-worth clientele. Our boutique tuck-in platform empowers breakaway financial...
-
Chief Compliance Officer
2 weeks ago
Los Angeles, United States Wealth Management Full timeChief Compliance OfficerLocation: Century CityAbout the CompanyThe Company is a newly registered investment adviser, founded by industry leaders and seasoned practitioners who have built and operated successful single-family offices and wealth management firms serving ultra-high-net-worth clientele. Our boutique tuck-in platform empowers breakaway financial...
-
Regulatory Compliance Specialist
2 days ago
Los Angeles, California, United States Concept Laboratories Full timeJob OverviewThis is a dynamic opportunity to join Concept Laboratories as a Regulatory Compliance Specialist in our Pleasant Prairie, WI facility.The ideal candidate will have experience in cosmetic and personal care product manufacturing, with a strong understanding of regulatory requirements.We offer a competitive salary range of $55,000 - $65,000 per...
-
Compliance Officer
6 days ago
Los Angeles, California, United States SoLa Impact Full timeJob SummaryThe Affordable Housing Compliance Officer is a critical role at SoLa Impact, where you will be responsible for overseeing the Section 8 portfolio and covenanted ground-up units. This position requires exceptional attention to detail, strong organizational skills, and excellent communication abilities.About the CompanySoLa Impact is an...
-
Special Investigator
2 weeks ago
Los Angeles, California, United States Department of Insurance Full timeJob Description and DutiesBACKGROUND CHECK AND FINGERPRINTING ARE REQUIRED.As a Special Investigator within the Investigation Division, you will be designated under California Penal Code §830.11 as an officer of the state authorized to exercise limited peace officer powers, such as arrests and the execution of search warrants, upon completion of a Penal...
-
Regulatory Compliance Specialist
9 hours ago
Los Angeles, CA, United States Kitsch, LLC Full timeAbout Us KITSCH is proud to be recognized as a self-financed, female-owned global accessory brand built on positivity and pure hard work. Established in 2010, with a business plan no longer than a paragraph, Kitsch has grown from door to door sales to selling products in over 27 countries across 20,000 retail locations worldwide. KITSCH is committed to...
-
Chief Compliance Officer
6 days ago
Los Angeles, California, United States Jobot Full timeAre you a seasoned professional looking to grow into a leadership role? We are seeking a Chief Compliance Officer to join our team at Jobot. In this role, you will be responsible for ensuring that our compliance practices meet the highest standards of excellence.About UsWe are a successful Bank making a significant impact in the lives of communities through...
-
Los Angeles, California, United States Crowe Full timeCrowe is a leading public accounting, consulting and technology firm that provides audit services to public and private entities while also helping clients reach their goals with tax, advisory, risk and performance services.The company is recognized by many organizations as one of the country's best places to work and serves clients worldwide as an...
-
Compliance Officer
6 days ago
Los Angeles, United States LHH Recruitment Solutions Full timeJob DescriptionJob DescriptionCompliance Officer LHH Recruitment Solutions is hiring a Compliance Officer for our nonprofit client located in the South LA area. This position will be 100% onsite and a full-time, contract-to-hire opportunity. This position will be focused on auditing and ensuring that our client's programs are following guidelines and...
-
los angeles, United States Wealth Management Full timeChief Compliance OfficerLocation: Century CityAbout the CompanyThe Company is a newly registered investment adviser, founded by industry leaders and seasoned practitioners who have built and operated successful single-family offices and wealth management firms serving ultra-high-net-worth clientele. Our boutique tuck-in platform empowers breakaway financial...
-
Compliance Specialist
21 hours ago
Los Angeles, United States Men's Health Foundation Full timeAre you in search of a fulfilling and meaningful position? Do you want to work for an organization that promotes growth and development? Here at Men's Health Foundation, we envision a world where inequity and stigma do not separate people from healthcare.Why Men's Health Foundation? Men's Health Foundation is seeking compassionate, mission-driven...
-
Los Angeles, California, United States L.A. Care Health Plan Full timeJob OverviewL.A. Care Health Plan, an independent public agency, is seeking a Senior Healthcare Attorney Director to join our team in Los Angeles, CA.About the RoleThis senior-level position supports our health care legal services unit by providing expert counsel on complex regulatory matters, developing legislative bills, and ensuring compliance with...
-
Los Angeles, California, United States Recruit Monitor Full timeAbout the Job: Project Coordinator with Regulatory Expertise - USAJob Overview:This part-time role, offering 15-20 hours per week until November 2022, has the potential to increase to 24-30 hours thereafter. The position is remote, requiring regular communication with the supervisor, project team members, and clients via email, phone, and Microsoft...
-
Los Angeles, California, United States Wealth Management Full timeJob Overview:We are seeking an experienced Chief Compliance Officer to join our wealth management team in Los Angeles. As a key member of our leadership team, you will be responsible for designing and implementing a best-in-class compliance program that aligns with the Investment Advisers Act of 1940 and other applicable laws.Key Responsibilities:Compliance...
-
Attorney – Healthcare Regulatory
4 weeks ago
Los Angeles, United States Offit Kurman Full timeOffit Kurman, a full-service law firm, is seeking an experienced Healthcare Regulatory Attorney to join our team. This position is available in any of our offices within our regions. About the Role: Our healthcare clients include a wide range of healthcare providers, specialty practices, professionals, payers, and vendors, with a particular focus on...
