Head of Compliance and Risk Management

2 weeks ago

Los Angeles, California, United States Los Angeles Capital Management LLC Full time

Director of Compliance and Risk Management

Prior experience in an investment management firm is essential.

About the Organization

Mission Statement

"Delivering Client Success through Innovative Research and Technology"

Los Angeles Capital Management LLC is a premier global equity asset manager, serving prominent institutions worldwide. The organization is acknowledged as a leader in dynamic equity management, leveraging proprietary technology to create equity portfolios that adapt to the evolving equity landscape. With over three decades of collaboration among its senior investment professionals, the firm has developed sophisticated models for assessing and predicting the return and risk of global equity securities. Currently, the firm manages approximately $31 billion across diverse public equity strategies tailored to meet the return and risk objectives of institutional clients. Recognized for seven consecutive years by Pensions and Investments as one of the "Best Places to Work in Money Management," the firm fosters a collaborative environment that emphasizes teamwork and work-life balance. A competitive compensation package is offered, including comprehensive healthcare plans, a 401(k) program, and exceptional benefits. Being 100% employee-owned through a holding company structure, the firm is committed to retaining and motivating its employees for the long term. Los Angeles Capital firmly believes that the quality and dedication of its personnel are crucial to the organization's success, ensuring that client expectations are consistently surpassed.

Position Summary

Reporting directly to the Chief Compliance Officer, the Director of Compliance and Risk Management will serve as a senior leader within the Compliance and Risk team, overseeing compliance and risk personnel. This role involves collaboration with the CCO, in-house legal counsel, and various managers throughout the organization to ensure adherence to regulatory mandates, client stipulations, and internal policies and procedures. The Director will continuously assess the effectiveness of internal controls and propose enhancements to the compliance and operational risk framework. The department's mission is to uphold the highest standards of ethical and professional conduct across the organization while developing policies, procedures, and testing mechanisms designed to identify and prevent violations of securities laws.

Key Responsibilities

The following responsibilities are indicative of the nature of work and are not exhaustive:

  • Monitor and interpret shifts in global financial regulations to ensure the organization's practices remain compliant.
  • Identify and assess compliance and operational risks across the organization, conducting evaluations and formulating strategies to mitigate those risks.
  • Develop, revise, and implement compliance policies and procedures to align with current regulations and industry best practices.
  • Design and execute testing of policies and procedures across departments to identify and manage risks effectively.
  • Proactively seek new technologies or efficiencies in workflows to enhance the compliance program.
  • Provide guidance on portfolio guideline compliance to portfolio management and other members of the Compliance team.
  • Prepare and submit regulatory filings and reports, ensuring accurate and timely documentation of compliance activities.
  • Deliver training and support to staff on compliance matters, fostering a culture of compliance within the organization.
  • Investigate compliance breaches or issues, implementing corrective actions and preventive measures.
  • Engage actively with clients and prospects.
  • Represent compliance and risk interests on various organizational sub-committees.

Required Skills and Knowledge

  • 12+ years of experience in compliance, legal, or regulatory roles within the financial services sector, ideally with a focus on investment advising.
  • Bachelor's degree in finance, law, business, or a related discipline.
  • In-depth understanding of relevant regulations and industry standards, including the Investment Advisers Act of 1940 and securities regulations.
  • Strong analytical capabilities, meticulous attention to detail, and the ability to interpret complex regulations and translate them into actionable policies.
  • Exceptional writing skills (concise and clear).
  • Outstanding oral, organizational, and management abilities.
  • Demonstrated history of success in responsibilities and increasing levels of responsibility.

Desired Competencies

  • Leadership – Proven leadership and management skills, with experience mentoring and guiding compliance teams.
  • Analysis – Ability to comprehend issues, draw conclusions, evaluate alternatives, and make sound judgments and recommendations promptly.
  • Coordination and Collaboration – Initiates and participates in problem-solving efforts and projects with other team members and departments.
  • Creativity – Proposes or implements innovative solutions to ongoing challenges, issues, and workflows.
  • Dependability – Capable of working independently, meeting reasonable deadlines, and taking responsibility for personal actions.
  • Communication – Excellent verbal and written communication skills, with the ability to convey complex ideas clearly and inspire teams.
  • Decision-Making Skills – Proven ability to make informed decisions swiftly and effectively.
  • Integrity – Demonstrates honesty, transparency, and ethical behavior in all actions and decisions.
  • Adaptability – Flexibility in managing change and uncertainty, with a proactive approach to problem-solving.

This position is hybrid and requires regular attendance.

Los Angeles Capital Management LLC is an Affirmative Action/Equal Opportunity Employer committed to providing employment opportunities without regard to an individual's race, color, religion, age, gender, gender identity, sexual orientation, national origin, ancestry, marital status, medical condition, genetic information, veteran status, or disability.

For more information about the company, please refer to our website.

Personnel/Applicant Privacy Notice

Los Angeles Capital Management LLC is dedicated to protecting the privacy of our personnel and job applicants. The firm does not "sell" your personal information as defined by applicable regulations. Please see the privacy notice for further details.

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