Compliance Director

3 weeks ago

Los Angeles, California, United States Los Angeles Capital Management LLC Full time
Job Title: Director, Compliance & Risk

About the Role:

We are seeking a highly experienced Director, Compliance & Risk to join our team at Los Angeles Capital Management LLC. As a key member of our Compliance and Risk team, you will be responsible for ensuring the company's practices comply with global financial regulations and industry standards.

Key Responsibilities:

  • Monitor and interpret changes in global financial regulations and ensure the firm's practices comply.
  • Identify and monitor compliance and operational risks across the organization, conduct assessments, and develop strategies to address and mitigate those risks.
  • Create, update, and implement compliance policies and procedures to align with current regulations and industry best practices.
  • Design and conduct testing of policies and procedures across departments to identify and manage risks.
  • Proactively identify new technologies or efficiencies in workflows to improve the program.
  • Assess and provide portfolio guideline compliance guidance to portfolio management and other members of the Compliance team.
  • Prepare and submit regulatory filings and reports and ensure accurate and timely documentation of compliance activities.
  • Provide training and support to staff on compliance issues, fostering a culture of compliance within the firm.
  • Investigate compliance breaches or issues, and implement corrective actions and preventive measures.
  • Actively engage with clients and prospects.
  • Represent compliance and risk on various firm sub-committees.

Requirements:

  • 12+ years of experience in compliance, legal, or regulatory roles within the financial services industry, preferably with a focus on investment advising.
  • Bachelor's degree in finance, law, business, or a related field.
  • Deep understanding of relevant regulations and industry standards, such as the Investment Advisers Act of 1940 and securities regulations.
  • Strong analytical skills, attention to detail, and the ability to interpret complex regulations and translate them into actionable policies.
  • Superior skills in writing (concise and clear).
  • Excellent oral, organizational, and management skills.
  • Demonstrated pattern of success in duties and growing responsibilities.

Desired Competencies:

  • Leadership – Proven leadership and management abilities, with experience mentoring and guiding compliance teams.
  • Analysis – Comprehends issues, draws conclusions, evaluates alternatives, and makes sound judgments and recommendations in a timely manner.
  • Coordination and Collaboration – Initiates and/or joins problem-solving efforts and projects with other team members and departments.
  • Creativity – Suggests or applies new ways of addressing ongoing challenges, issues, and workflows.
  • Dependability – Capable of working independently, meeting reasonable deadlines, and accepting responsibility for his/her own actions.
  • Communication – Excellent verbal and written communication skills, with the ability to convey complex ideas clearly and motivate teams.
  • Decision-Making Skills – Proven capacity to make informed decisions swiftly and effectively.
  • Integrity – Demonstrating honesty, transparency, and ethical behavior in all actions and decisions.
  • Adaptability – Flexibility in handling change and uncertainty, with a proactive approach to problem-solving.

What We Offer:

Los Angeles Capital Management LLC is an SEC registered investment adviser and an equal opportunity employer. We offer a competitive compensation package, including health care plans, 401(k), and top-tier benefits. We are committed to providing a work environment that values teamwork and work-life balance.

How to Apply:

Interested candidates should submit their application through our website. We are an affirmative action/equal opportunity employer and welcome applications from diverse candidates.

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