Job Description

We actually have 2 openings with 2 different firms. One is REMOTE and the other is local. Both are similar in scope and duties but both required compliance experience, fixed income knowledge, bloomberg, degree with a target of 2 - 5 years of experience but can be flexible.

We are seeking a full-time COMPLIANCE ASSOCIATE to work in our Los Angeles, CA office.

The ideal candidate will be a self-starter who is detail oriented and has some financial services or investment advisory experience. This position will be located within the Compliance Department and will work with both the Deputy Chief Compliance Officer and President.

DUTIES OF THIS POSITION MAY INCLUDE, BUT ARE NOT LIMITED TO THE FOLLOWING:

• Assist with daily trade review and surveillance.

• Maintain and update Firm’s Restricted and Watch List.

• Review and preclear employee personal trade requests.

• Support in the various testing of supervisory policies and procedures.

• Prepare, organize, and file requisite documentation.

• Maintain compliance calendar to track deadlines, including but not limited to, staying up to date on regulatory and other applicable deadlines.

• Ensures work is completed on time by monitoring the progress leading up to the deadlines.

• Organizes and maintains information that may be sensitive, confidential or technical in nature.

• Demonstrates effective written and oral communications skills with team members and managers.

• Perform other duties as assigned.

EDUCATION, EXPERIENCE AND SKILLS REQUIRED:

• Bachelor's degree in Finance, Business, or Economics.

• 1 to 5 years of experience in the brokerage or investment advisor industry and/or previous Compliance experience.

• Bloomberg AIM experience preferred

• Knowledge of capital markets or asset management industry.

• Strong written and effective oral communication skills

• Excellent attention to detail and must be comfortable working effectively under pressure in a rapidly changing environment.

• Demonstrates ability to prioritize work and complete in a timely manner.

• Strong competency in utilizing MS Word, Excel, PowerPoint and Outlook.

• Ability to organize and prioritize work without supervision.

• Self-starter with willingness to learn and adapt to new and challenging tasks.

• Demonstrates ability to utilize technology to enhance and automate, refine, and streamline processes.

Bloomberg, Fixed Income, Operations, Compliance, CMGR, Charles River, Aladdin, etc.

Company Description

Large buy side shop with $ 100 Bill AUM.