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Risk and Compliance Officer

2 months ago

California, United States Larson Maddox Full time

Larson Maddox is expanding its legal and compliance division and is seeking a dedicated Compliance Specialist to join their team. This is a unique opportunity to be part of a dynamic environment and contribute to the establishment of the compliance framework within the organization.

Key Responsibilities of the Compliance Specialist:

  • Implementing compliance protocols including the Code of Ethics, employee declarations, regulatory submissions, and document management.
  • Overseeing personal and corporate trading activities, maintaining restricted lists, managing various logs, performing document reviews, monitoring calls, approving expert networks, and liaising with external brokerage firms.
  • Supporting the annual review and training initiatives for compliance policies, along with evaluating the compliance program and preparing updates for Compliance Committee meetings.
  • Conducting retrospective analyses related to expense distributions, trade allocation discrepancies, managed accounts, and personal trading activities.

Qualifications for the Compliance Specialist:

  • Strong educational background.
  • 2 to 4 years of pertinent experience in accounting firms, financial institutions, consulting agencies, or regulatory bodies.
  • Professional demeanor with the ability to manage confidential information responsibly.
  • Exceptional interpersonal and communication skills, both written and verbal.
  • Strong analytical abilities, meticulous attention to detail, excellent organizational skills, and demonstrated multitasking capabilities.
  • Ability to perform effectively under pressure in a fast-paced setting.
  • Self-motivated, capable of working autonomously, and quick to adapt.