Compliance Regulatory and Testing - Analyst or AVP


Downtown LA


Firm has $ 100 Bill AUM and is h/q in Downtown LA.


The Sr. Compliance Analyst/Assistant Vice-President will assist in creating and conducting regulatory compliance tests/audits to ensure compliance with various investment adviser, investment company and broker-dealer regulatory requirements, both US and global.

Responsibilities include:

  • Performing compliance testing procedures, including identifying and defining regulatory issues, developing testing criteria, conducting testing, reviewing and analyzing supporting documentation, describing/documenting existing procedures and recommending new processes if applicable
  • Conducting internal interviews to understand current policies/procedures/practices, reviewing source documents, developing and administering testing surveys, composing summary testing memos and organizing/preparing testing work papers;
  • Identifying, developing and documenting compliance testing issues and recommendations using independent judgment concerning areas being reviewed;
  • Communicating the results of audit projects via written reports and verbal presentations to management;
  • Developing and maintaining positive and productive relationships through individual contacts and meetings;
  • Performing other Compliance related tasks and projects as requested.
  • Knowledge in various investment management/broker-dealer securities rules and regulations;
  • 5-7 years of regulatory compliance/audit experience within the financial service industry strongly preferred;
  • Track record in planning and project management and in maintaining composure under pressure while meeting deadlines;
  • Strong skills in working collaboratively with others, using rational judgment, resolving problems and negotiating issues;
  • Proficient in Microsoft Office products including, Word, Excel, Outlook and other business software to prepare reports, memos and summaries.
Please Email: and attach your resume.


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