Compliance Specialist

2 days ago


Newport Beach, California, United States Research Affiliates Full time
Job Title: Compliance Associate

We are seeking a highly motivated and detail-oriented Compliance Associate to join our team at Research Affiliates. As a Compliance Associate, you will play a critical role in supporting our investment adviser compliance program and ensuring that our firm remains in compliance with all relevant regulatory requirements.

Key Responsibilities:
  • Assist the Chief Compliance Officer in managing the investment adviser compliance program, including implementing policies and procedures, delivering compliance trainings, and conducting surveillance and testing.
  • Draft and maintain compliance-related documentation, including policies, procedures, and regulatory filings.
  • Support client-facing teams with information requests and assist with diligence of key service providers.
  • Review marketing materials and communications for compliance with regulatory requirements.
  • Perform legal and regulatory research and assist with special projects as needed.
Requirements:
  • Bachelor's Degree required.
  • 3-5 years of relevant compliance-related work experience.
  • Solid comprehension of the securities industry and regulatory requirements pertaining to SEC-registered investment advisers.
  • Prior compliance experience with registered investment advisers, registered investment companies, and/or the SEC or FINRA.
  • Strong attention to detail and excellent organizational and time management skills.
  • Excellent communication and interpersonal skills.
What We Offer:
  • A flexible hybrid work model.
  • Generous comprehensive insurance plans.
  • Flexible time off.
  • Education assistance and tuition reimbursement program.
  • Company-sponsored social and recreational activities.
  • Six-week sabbatical after 7 years of continuous employment.

Salary Range: $80,000 - $110,000 + eligible for a discretionary bonus. Base pay will be assessed taking into consideration such factors as location, qualifications, skills, and experience. Local candidates preferred but will consider all applicants.


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