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Job Title: Investment Compliance Analyst

Job Description...

As an Investment Compliance Analyst, you will be responsible for ensuring that our organization complies with regulatory requirements and internal policies related to investment activities. You will analyze investment transactions, portfolios, and strategies to identify and mitigate compliance risks. Your role will involve collaborating with investment managers, legal teams, and regulatory authorities to maintain adherence to applicable laws, regulations, and industry standards. You will play a critical role in supporting investment decision-making processes while maintaining a robust compliance framework.

Roles And Responsibilities
• Regulatory Compliance Monitoring:
• Monitor and interpret regulatory requirements, including SEC, FINRA, and other regulatory bodies, impacting investment management activities.
• Conduct reviews and audits of investment transactions, portfolios, and activities to ensure compliance with legal and regulatory standards.
• Stay updated on regulatory changes and industry developments affecting investment compliance practices.
• Investment Guidelines and Policies:
• Review and assess investment guidelines, mandates, and client agreements to ensure alignment with regulatory requirements and internal policies.
• Collaborate with investment teams to implement and enforce compliance controls related to portfolio management and trading activities.
• Provide guidance on compliance issues and recommend solutions to mitigate risks and maintain adherence to investment mandates.
• Risk Assessment and Reporting:
• Perform risk assessments and analyze investment portfolios for compliance with risk tolerance levels and investment restrictions.
• Prepare compliance reports, dashboards, and presentations for senior management, investment committees, and regulatory authorities.
• Identify and escalate potential compliance breaches or regulatory issues for resolution.
• Internal Controls and Monitoring:
• Develop and implement compliance monitoring programs and controls to detect and prevent violations of investment guidelines and regulations.
• Conduct periodic reviews and testing of compliance controls, policies, and procedures.
• Collaborate with internal audit and risk management teams to address findings and recommendations related to investment compliance.
• Training and Communication:
• Provide training and guidance to investment professionals and support staff on compliance policies, procedures, and regulatory requirements.
• Serve as a subject matter expert on investment compliance matters, responding to inquiries and providing advisory support to stakeholders.
• Foster a culture of compliance awareness and ethical behavior across the organization.

Skills Required
• Bachelor’s degree in Finance, Economics, Business Administration, or related field (Advanced degree and/or CFA, CRCM certification preferred).
• Proven experience as an Investment Compliance Analyst, Compliance Officer, or similar role within the financial services industry.
• Strong knowledge of regulatory frameworks and requirements governing investment management (e.g., SEC regulations, Investment Advisers Act).
• Experience in interpreting and applying investment guidelines, mandates, and legal agreements.
• Analytical mindset with proficiency in data analysis, risk assessment, and compliance monitoring.
• Excellent communication skills with the ability to communicate complex regulatory concepts effectively.
• Detail-oriented with strong organizational skills and the ability to manage multiple priorities and deadlines.

• The compensation package for this role will be competitive and commensurate with experience and qualifications.
• Benefits such as health insurance, retirement plans, performance-based bonuses, and professional development opportunities may be included
Los Angeles CA United States


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