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Investment Compliance Officer

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Korn Ferry

2021-12-03 07:34:24

Job location Los Angeles, California, United States

Job type: fulltime

Job industry: Banking & Financial Services

Job description

Our client is one of the fastest growing and dynamic independent SEC-registered investment advisors in the country, is looking to expand its Legal, Compliance, and Risk Department.


Our clients team is a diverse group of best-in-class specialists dedicated to creating smart investment solutions for our clients. They are an independent Registered Investment Advisor (RIA) that currently manages over $9 billion as our clients' fiduciary. They are nationwide with resources located in key areas across the United States. They create asset allocation and financial plans designed to maximize our clients' life and legacy. They are analytical, passionate, and savvy.


The successful candidate will have a minimum of four years of direct, investment advisor-related legal or compliance experience involving one or more of the following areas: • Individual ultra-high-net-worth and family office wealth management clients; • Private pooled investment vehicles, such as hedge and real estate-based private funds; or • Investment Company Act funds, such as mutual funds and ETFs.


You will work closely with the Chief Legal and Compliance Officer and the Executive Vice President integral in the firms compliance efforts.


Key Responsibilities


  • Advise senior management on issues relating to legal and regulatory compliance
  • Prepare and file investment advisor filings
  • Implement and maintain compliance program to meet industry and regulatory standards
  • Prepare and maintain employee disclosure forms and assist in organization and maintenance of required books and records
  • Review marketing materials and other client communications materials
  • Review and conduct due diligence of vendors and other third parties
  • Review and monitor valuation information
  • Monitor employee compliance via Schwab CT
  • Conduct, in conjunction with Legal and Compliance team, Annual Review process.
  • Drafting and distribute firm policies
  • Conduct regulatory audits as needed
  • Assist with surprise custody audits as needed
  • Conduct branch office audits Additional Details
  • Competitive pay and benefits and opportunities for professional growth Professional


Experience/Qualifications


  • Bachelor's degree or equivalent work experience required; J.D. preferred
  • 4-5 years investment advisory and 40 Act compliance experience required, SEC or related financial regulator experience preferred
  • Proactive approach in identifying and correcting existing or potential problem areas
  • Ability to develop relationships with firm personnel, vendors, and consultants
  • Ability to help create and maintain compliance related documentation
  • Strong verbal and written communication skills
  • Strong time management and project management skills
  • Strong Excel, Word, and PowerPoint skills
  • Familiarity with Addepar and Salesforce would be a plus

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