Compliance Associate

  • Wall Street Personnel
  • Los Angeles, CA, United States
  • Jun 13, 2017
Full time Compliance

Job Description

  • Firm Investment Management ("Firm") is seeking a highly motivated self-starter to join the team as a Compliance Associate. This position is responsible for monitoring compliance with the firm’s Code of Ethics for personal trading and providing compliance assistance to the Chief Compliance Officer.Conducts investigations, audits, and maintains records pertaining to the annual compliance audit. Prepares written reports of audit findings and conducts follow-up to ensure any noted deficiencies have been corrected
  • Interprets, provides advice, administers and monitors the firm’s Code of Ethics for personal trading. Provides on-going training to home office staff on Code of Ethics
  • Identifies potential violations of rules, policies and procedures through thorough knowledge and understanding of regulations
  • Maintains, establishes and identifies potential violations of client objectives/restrictions in the trading system
  • Establishes and maintains compliance files and records including product/account documentation
  • Assists in the review of marketing materials and client proposals
  • Assists with the SEC 13F report and other required regulatory reports
  • Assists with the 15C reporting requirements
  • Provides assistance to outside auditors and subpoenas
  • Reviews and analyzes trading exception reports to identify and respond to trends or patterns.
  • Bachelor’s degree and two years industry compliance experience or an equivalent of experience and education
  • Strong attention to detail
  • Excellent verbal and written communication skills
  • Ability to work independently with limited supervision
  • Excellent communication (verbal and written), analytical, interpersonal skills and diplomacy
  • Ability to work to meet multiple, competing deadlines in a high pressure, often fast-paced environment.
  • Ability to work with all levels of management, with a positive solutions based approach
  • Detail oriented