Compliance Specialist
Job Description
As a Regulatory and Compliance Specialist, you will play a pivotal role, working closely with the management team overseeing and leading the compliance functions, ensuring account guidelines and regulatory requirements are met. This will include accountability for strategic planning of the compliance functions, designing and building the compliance capabilities on the team. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and assists the firm’s responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.
As part of this team, the primary responsibilities will include:
- Monitoring and conducting surveillances focusing on compliance with regulatory and/or internal controls.
- Assessing financial product and transaction suitability relating to a range of clients, ensuring strict compliance with regulations and internal policies
- Interacting with the different business units, Compliance, Legal and Operations teams on a daily basis
- Reviewing marketing materials that are used to pitch products and services to clients.
- Advising business units and teams on regulations, policies, and client issues
- Manage SEC regulatory reporting and maintain essential filings, including Form ADV, CRS, and more.
- Assist in compliance monitoring to ensure accounts are invested in accordance with client guidelines, internal policies and procedures and regulatory law.
Basic Qualifications:
- You have an undergraduate degree. CFA, MBA, JD or other related advanced degree preferred.
- A minimum of three to five years of relevant experience
- Proficiency in Microsoft Office products including Excel, Word, Outlook
- Ability to interpret written guidelines and legal documents and possess problem solving and research capabilities
- Able to effectively prioritize, execute tasks, and thrive in a high-pressure fast paced environment
- Strong understanding and appreciation for technology solutions
- You are an agile and nimble learner and can quickly grasp and navigate complex technical concepts and effectively manage ambiguity to lead others.
- You are skilled at problem solving, developing solutions on complex and broad matters, and balancing stakeholders to drive successful implementation.
Location
Job is on site. Only applicants willing to work at one of the following locations - Woodland Hills, CA/Beverly Hills, CA or Newport Beach, CA
We are an equal opportunity employer, which means we comply with all federal, state and local laws that prohibit discrimination when making all decisions about employment. As equal opportunity employers, our policies prohibit unlawful discrimination on the basis of race, religion, color, national origin, ancestry, sex (including gender and gender identity), pregnancy, childbirth and related medical conditions, age, physical or mental disability, medical condition, genetic information, marital status, sexual orientation, citizenship status, AIDS/HIV status, political activities or affiliations, military or veteran status, status as a victim of domestic violence, assault or stalking or any other characteristic protected by federal, state or local law.
