Location: El Segundo, CA
Our client, in the heart of LA, is a global investment firm with over $8 billion of capital under management. Since its inception, they have successfully acquired approximately 100 businesses across a variety of industries. This is a dynamic, fast-paced environment with an emphasis on the employee and culture. They are looking for a talented, stand-alone leader who as the breadth and depth of experience to run their Corporate Compliance for their parent company and any subsidiaries/ portfolio companies. If you have previous experience in a financial services firm, particularly within an RIA setting, and have a proven track record of success and improving processes, we are looking for you!.
The Compliance Manager will provide compliance support for investment advisor policy and procedures, organization and formation documents, treasury documents, fund administration and other day-to-day operations of the finance/accounting department.
- Prepare annual filings of Form ADV, Part 2a of Form ADV and Form PF.
- Maintain restricted company list, political contributions by employees and gift reporting by employees.
- Monitor employee brokerage accounts.
- Conduct RIA compliance testing.
- Maintain RIA policy and procedures manual, disaster recovery plan and business continuity plan.
- Other duties and responsibilities as may be defined from time to time.
- Bachelor’s degree.
- Minimum of 4 years of relevant compliance experience.
- Proficient Excel, Word, Powerpoint Outlook.
- Experience with compliance science &
- Must be detail conscious and able to work in a multi-tasking environment.
- Ability to interact well with a variety of people.
- High level of discretion and ability to maintain a strict degree of confidentiality with all company matters.