Compliance Associate/Consultant
$90,000–$120,000 year
HybridLos Angeles, California, United States
Job Summary
Advise clients on day-to-day compliance topics including personal trading, email reviews, and firm trading activity monitoring. Prepare and submit regulatory filings such as Form ADV and Form 13, while managing client registrations with the SEC and CFTC. Investigate and resolve compliance issues, monitor regulatory developments, and review marketing materials against the Advisers Act. Support clients through regulatory examinations and deliver annual compliance training. Communicate professionally with regulators, clients, and internal teams to produce accurate, high-quality work across multiple assignments.
Required Qualifications
- Bachelor's degree or equivalent qualification
- 1 to 3 years of relevant compliance experience
- Ideally gained within a registered investment adviser, law firm, bank, alternative investment firm, or similar environment
Desired Qualifications
- Knowledge of CFTC, NFA, client requirements, and SEC examination practices
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