Job Opening

Compliance Operations Analyst

Job Title: Compliance Operations Analyst

Location: Los Angeles (Downtown LA)

  • Responsible for manually calculating a variety of client guideline requirements
  • Responsible for gathering documents required to meet client guideline requirements
  • Completing regular audits of a variety of tasks to ensure proper documentation has been maintained
  • Completing projects that are assigned on an ad hoc basis
  • Ability to work on optimizing the manual processes, through systems enhancements and project management with the IT department to automate these processes.
  • Ability to work with coworkers in a demanding and time sensitive environment

Education: Bachelor’s Degree

  • 2 – 5 years of investment related experience with strong comprehension of the securities markets with an emphasis on fixed income and derivatives.
  • Demonstrative experience in project management, organization and managing numerous manual related tasks, deadlines and ad-hoc projects
  • Ability to liaise with IT and Business Analysts to implement more systemized and automated processes for customized accounts