Job Overview – Compliance Associate (Investment Management):
Compensation: $100,000 – $125,000/year base ($150,000 All-In)
Location: Los Angeles, CA
Schedule: Monday to Friday (Hybrid)
Join our client as a Compliance Associate (Investment Management) in Los Angeles, CA, handling trade surveillance, employee compliance, Code of Ethics enforcement, and marketing material review in a fast-paced asset management environment. This hybrid role supports daily monitoring, regulatory reporting, and policy oversight while ensuring compliance deadlines are met, collaborating with senior compliance staff and using tools such as Bloomberg AIM and Microsoft Office Suite to maintain accuracy and regulatory adherence.
Responsibilities as the Compliance Associate:
- Trade & Employee Compliance: Conduct daily trade surveillance, review personal trade requests, and maintain Restricted and Watch Lists.
- Policy Testing & Review: Assist in testing supervisory policies and procedures to ensure regulatory compliance.
- Documentation & Records: Prepare, organize, and maintain accurate, confidential compliance records.
- Deadline & Calendar Management: Track regulatory and internal deadlines using the compliance calendar.
- Marketing & Process Support: Review marketing materials for regulatory alignment and help streamline compliance workflows through technology.
Qualifications for the Compliance Associate:
- Education: Bachelor’s degree in Finance, Business, Economics, or a related field required.
- Experience: 3+ years in compliance, trade surveillance, or regulatory oversight within the investment advisory, asset management, or brokerage industry.
- Technical Skills: Proficient in Bloomberg AIM and Microsoft Office Suite (Word, Excel, PowerPoint, Outlook) with the ability to adapt to new compliance technologies.
- Industry Knowledge: Understanding of capital markets, asset management operations, and regulatory frameworks.
- Skills & Attributes: Detail-oriented with strong communication skills, able to work under pressure, self-motivated, and capable of managing multiple priorities independently.
Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.