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Compliance Director
Confidential Via Staffing Firm
Los Angeles, CA
Uh oh, this posting was removed on 9/20/2021 1:06:00 PM PST
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We are a staffing agency looking for a Compliance Director for our client an Investment Firm that invests in media, sports, internet, health and wellness industries. The candidate must be a resident of Los Angeles. Candidates based in San Francisco might also be considered.
Duties included but not limited to:
- Management of the Company's compliance Registered Investment Advisor program and policies.
-Compliance testing and scheduling
-Review of data and analysis of data
-Complying reports of finding
-Employee reporting management adhering to timelines
-Review and monitoring of disclosures, business activities, contributions, conflicts, and violations as well as users, reviews and materials
-Annual review process and policy reviews.
-Vendor review and due diligence process management
-Coordinate and manage any required risk assessments
-Onboarding and compliance training for employees
-Quarterly and annual trading reporting
-Coordinate annual Form ADV filing and Form PF Filing
-Marketing material review
-Cybersecurity program review and testing with the IT Department
Skills and Requirements:
-At least 3+ years of experience in a compliance role at an investment firm or compliance consulting firm
-Registered Investment Advisor is a plus
-Understanding of the Advisors Act
-Superior verbal and written communication skills required.
-Extremely organized with strict attention to detail.
-Excellent follow-through skills
-Self-starter and proactive
-Able to work under strict deadlines and handle high pressure
-Superior project management skills
-Able to multi-task and prioritize work assignments in order to meet strict deadlines.
-Able to both independently and as part of a team
-Able to thrive and excel in fast-paced, demanding environment
-Excellent interpersonal skills
-MS Office (including Word, PowerPoint and Excel), Adobe Acrobat, experience with compliance software programs. Tech savvy
-Professional demeanor
-Able to exercise discretion
-Able to maintain confidentiality with confidential materials
-Team-player
-Able to adapt
Don't worry we have a lot of jobs on the site like this one;
Browse all jobs
Browse the Accounting/Finance Category
Search for Compliance Director jobs in Los Angeles-CA
We are a staffing agency looking for a Compliance Director for our client an Investment Firm that invests in media, sports, internet, health and wellness industries. The candidate must be a resident of Los Angeles. Candidates based in San Francisco might also be considered.
Duties included but not limited to:
- Management of the Company's compliance Registered Investment Advisor program and policies.
-Compliance testing and scheduling
-Review of data and analysis of data
-Complying reports of finding
-Employee reporting management adhering to timelines
-Review and monitoring of disclosures, business activities, contributions, conflicts, and violations as well as users, reviews and materials
-Annual review process and policy reviews.
-Vendor review and due diligence process management
-Coordinate and manage any required risk assessments
-Onboarding and compliance training for employees
-Quarterly and annual trading reporting
-Coordinate annual Form ADV filing and Form PF Filing
-Marketing material review
-Cybersecurity program review and testing with the IT Department
Skills and Requirements:
-At least 3+ years of experience in a compliance role at an investment firm or compliance consulting firm
-Registered Investment Advisor is a plus
-Understanding of the Advisors Act
-Superior verbal and written communication skills required.
-Extremely organized with strict attention to detail.
-Excellent follow-through skills
-Self-starter and proactive
-Able to work under strict deadlines and handle high pressure
-Superior project management skills
-Able to multi-task and prioritize work assignments in order to meet strict deadlines.
-Able to both independently and as part of a team
-Able to thrive and excel in fast-paced, demanding environment
-Excellent interpersonal skills
-MS Office (including Word, PowerPoint and Excel), Adobe Acrobat, experience with compliance software programs. Tech savvy
-Professional demeanor
-Able to exercise discretion
-Able to maintain confidentiality with confidential materials
-Team-player
-Able to adapt
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