All Positions Consulting

Consulting – Compliance Associate

Industry: Investments

Location: West Los Angeles

Compensation: $25/Hour – $35/Hour

Contact: Rob Matheny

One of the premier investment firms in Los Angeles, focused on equity and fixed income strategy, is seeking a temporary Compliance Associate for a 90-day assignment. This role will monitor and test company practices for compliance with all firm and regulatory requirements.

Other Responsibilities include:
• Investment compliance monitoring including performing on‐going monitoring and surveillance of account versus investment guidelines.
• Collect and compile data and information to prepare various compliance reports.
• Participate in internal marketing review process.
• Maintain and update documentation files.
• Participate in internal and external audits of the firm, as needed.
• Work on special projects and perform other duties, as needed.

Requirements include:

• 2 ‐ 4 years of asset management experience (compliance, operations, marketing, etc.)
• Working knowledge of Investment Advisors Act of 1940 or Investment Company Act of 1940 a plus.
• Compliance audit and/or regulatory experience a plus.
• Advanced knowledge of Excel, Word, Outlook.
• Experience with Advent suite of portfolio management programs a plus.
• Strong attention to detail and organizational skills; ability to multi‐task; self‐starter and team oriented professional.
• Aptitude to learn new systems and software.
• Strong verbal and written communication skills.

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