Compliance Associate 

• Location: West LA, California
• $100000 base salary
• Remote: Remote
• Type: Direct Hire
• Job #1648
• Salary: $100,000 - $130,000

Title: Compliance Associate 

Industry: Other

Location: West LA – Hybrid

Overview: Pacific Executive Search has been engaged on a search for a Compliance Associate. In this role, you will take on new responsibilities such as assisting with daily trade reviews and maintaining compliance documentation, all while working in the vibrant West LA area. This position offers you the chance to grow your career within the financial services industry, collaborating closely with experienced compliance professionals and enhancing your skills in a dynamic environment.

Description:

Responsibilities

• Assist in the daily review and monitoring of trades.
• Update and manage the Firm’s Restricted and Watch Lists.
• Evaluate and approve employee personal trade requests prior to execution.
• Contribute to the testing of supervisory policies and procedures.
• Prepare, organize, and maintain necessary documentation.
• Oversee the compliance calendar to monitor important deadlines, ensuring awareness of regulatory and other relevant timelines.
• Track progress to ensure timely completion of tasks leading up to deadlines.
• Organize and safeguard sensitive, confidential, or technical information.
• Exhibit strong written and verbal communication skills when interacting with team members and management.
• Assist in the review of marketing materials.
• Perform additional duties as assigned.

Qualifications

• Bachelor's degree in Finance, Business, or Economics.
• 1 to 3 years of experience in the brokerage or investment advisory sector, or prior experience in compliance.
• Experience with Code of Ethics and marketing reviews is preferred.
• Familiarity with Bloomberg AIM is advantageous.
• Understanding of capital markets or the asset management industry.
• Strong written and verbal communication abilities.
• Exceptional attention to detail and capability to perform under pressure in a dynamic environment.
• Proficient in MS Word, Excel, PowerPoint, and Outlook.
• Ability to independently organize and prioritize tasks.
• Self-motivated with a readiness to learn and tackle new challenges.
• Demonstrates proficiency in leveraging technology to enhance, automate, and streamline processes.