Compliance Manager

Our client in the private equity firms industry is looking for a Compliance Manager to join their team in the Los Angeles County.

 

Job Description:

  • Help maintain compliance with laws and regulations
  • Prepare Form ADV, Part 2a of Form ADV and Form PF filings
  • Maintain policy and procedures manuals, disaster recovery plan and business continuity plan
  • Test compliance manual policies and procedures
  • Review and suggest improvements to policies and procedures
  • Oversee employee brokerage accounts
  • Help perform email reviews
  • Assist with compliance training
  • Assist with cybersecurity monitoring

 

Requirements:

  • Strong knowledge of RIA and FCA regulatory compliance
  • Proficient with the Microsoft Office Suite, including strong Excel skills, ComplySci & Smarsh experience
  • Strong analytical, problem-solving and organization skills
  • Excellent verbal, written and interpersonal communication skills
  • Able to communicate with professionals at all levels
  • Able to be discreet with confidential/sensitive information
  • Able to work independently and take initiative
  • Able to adapt to changing priorities
  • Able to work on multiple projects with accuracy and efficiency, while keeping to deadlines
  • Detail-oriented
  • A team player
  • Strong work ethic

 

Experience:

  • Bachelor’s degree in related field and a minimum of 4 years’ relevant experience

Ref #23329

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Alex RealCompliance Manager