A global asset manager located in Los Angeles is looking to bring on an experience Compliance Director to their team. The Compliance Director will work with the Chief Compliance Officer to ensure the firm and its employees remain compliant, and oversee the Risk team.
This role will be performed on a hybrid schedule in West LA.
Responsibilities :
- Create, update, and implement policies and procedures
- Provide regulatory guidance to the portfolio compliance team
- Prepare and submit regulatory filings
- Design and conduct compliance testing
- Identify and monitor risk across the firm, conduct risk assessments, and develop risk mitigation strategies
- Conduct compliance trainings
Requirements :
- 10+ years of compliance experience, ideally with an Investment Adviser
- Bachelors Degree
- Strong knowledge of Investment Advisers Act & Securities regulations
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