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Head of Compliance and Risk Management
2 months ago
Director, Compliance & Risk Management
Prior experience in an investment management firm is essential.
About Los Angeles Capital Management LLC
Mission Statement
"Achieving Client Success through Research and Technology"
Los Angeles Capital Management LLC is a premier global equity asset manager serving leading institutions worldwide. The firm is recognized for its innovative approach to dynamic equity management, leveraging proprietary technology to create adaptable equity portfolios that respond to the evolving equity market landscape. With a legacy of collaboration spanning three decades, our senior investment professionals have developed advanced models for assessing and predicting the return and risk of global equity securities. Currently, the firm oversees approximately $31 billion in assets, employing a diverse range of public equity strategies tailored to meet the return and risk objectives of institutional clients. For seven consecutive years, the firm has been acknowledged by Pensions and Investments as one of the "Best Places to Work in Money Management." Our workplace emphasizes teamwork and promotes a healthy work-life balance. We offer a competitive compensation package, including comprehensive healthcare plans, a 401(k) retirement plan, and exceptional benefits. As a 100% employee-owned entity, we are committed to fostering long-term retention and motivation among our employees. Los Angeles Capital Management LLC firmly believes that the quality and dedication of our team members are crucial to our success in exceeding client expectations.
Position Overview
Reporting directly to the Chief Compliance Officer, the Director, Compliance & Risk Management will play a pivotal role within the Compliance and Risk team, overseeing compliance and risk personnel. This position will collaborate closely with the CCO, in-house legal counsel, and various managers across the organization to ensure adherence to regulatory standards, client requirements, and internal policies. The Director will continuously assess the effectiveness of internal controls and propose enhancements to the compliance and operational risk framework. The primary objective of the department is to uphold the highest standards of ethical and professional conduct throughout the organization while developing policies and procedures designed to identify and prevent violations of securities laws.
Key Responsibilities
The following responsibilities are representative of the nature of work and are not exhaustive:
- Monitor and analyze changes in global financial regulations to ensure compliance with firm practices.
- Identify and assess compliance and operational risks across the organization, formulating strategies to mitigate those risks.
- Create, revise, and implement compliance policies and procedures in alignment with current regulations and industry best practices.
- Design and execute testing of policies and procedures across departments to identify and manage risks effectively.
- Proactively explore new technologies or efficiencies to enhance the compliance program.
- Provide guidance on portfolio guideline compliance to portfolio management and compliance team members.
- Prepare and submit regulatory filings and reports, ensuring accurate 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 on various internal committees.
Required Skills and Knowledge
- 12+ years of experience in compliance, legal, or regulatory roles within the financial services sector, with a focus on investment advising preferred.
- 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 abilities, attention to detail, and the capacity to interpret complex regulations into actionable policies.
- Exceptional writing skills, with clarity and conciseness.
- Excellent verbal, organizational, and management capabilities.
- Proven track record of success in responsibilities and increasing roles.
Desired Competencies
- Leadership – Demonstrated leadership and management skills, with experience mentoring compliance teams.
- Analysis – Ability to comprehend issues, draw conclusions, evaluate alternatives, and make sound judgments in a timely manner.
- Coordination and Collaboration – Initiates and participates in problem-solving efforts and projects with team members and other departments.
- Creativity – Proposes innovative solutions to ongoing challenges and workflows.
- Dependability – Capable of working independently, meeting deadlines, and taking responsibility for actions.
- Communication – Strong 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 – Commitment to 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 is a hybrid position requiring regular attendance.
Los Angeles Capital Management LLC is an Affirmative Action/Equal Opportunity Employer committed to providing employment opportunities without regard to 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. We do not "sell" your personal information as defined by the CCPA. Please see our privacy notice for details.
