Compliance Director

2 weeks ago


Los Angeles, California, United States Larson Maddox Full time
About Larson Maddox

Larson Maddox is a global equity manager that prioritizes research and technology to manage billions in assets across various public equity strategies. Our firm is known for innovation in equity management and a commitment to exceeding client expectations. We foster a collaborative work environment that values work-life balance, offering a competitive compensation package and opportunities for long-term career growth.

Position Overview

The Director of Compliance and Risk will be a senior leader within the compliance team, working closely with the Chief Compliance Officer and other managers to ensure adherence to regulatory requirements and internal policies. This role involves evaluating and improving the compliance and operational risk program, promoting ethical conduct, and developing policies to prevent regulatory violations.

Key Responsibilities
  • Ensure compliance with global financial regulations and identify areas for improvement.
  • Mitigate compliance and operational risks through proactive monitoring and assessment.
  • Develop and implement compliance policies and procedures to maintain regulatory adherence.
  • Conduct regular testing and assessments to manage risks and ensure regulatory compliance.
  • Provide guidance on compliance matters to internal teams and stakeholders.
  • Prepare and submit regulatory filings in a timely and accurate manner.
  • Investigate compliance breaches and implement corrective actions to prevent recurrence.
  • Engage with clients and participate in internal committees to promote collaboration and knowledge sharing.
Requirements
  • 12+ years of experience in compliance or regulatory roles within financial services.
  • Bachelor's degree in finance, law, business, or a related field.
  • Strong understanding of relevant regulations and industry standards.
  • Excellent analytical, writing, and communication skills.
  • Proven leadership and decision-making abilities.

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