Compliance Associate

Our client in the investment company industry is looking for a Compliance Associate to join their team in Orange County


Job Description:

  • Prepare and submit regulatory filings
  • Perform research to determine appropriate compliance limits
  • Assist with the implementation of new regulations and related requirements
  • Perform strategic testing and audits of compliance infrastructure
  • Assist projects and research for managers and attorneys



  • Proficient with the Microsoft Office Suite, including strong Excel skills
  • Strong analytical, problem-solving and organization skills
  • Excellent verbal, written and interpersonal communication skills
  • Able to communicate complex information to a variety of audiences
  • 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



  • Bachelor’s degree in related field and a minimum of 1 years’ relevant experience

Ref #25181

Dora DangCompliance Associate