Job Title

Compliance Manager

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Job Description

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!.

 

Job Description:

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.

 

Responsibilities

  • 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.

 

Qualifications

  • 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.

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