Compliance Officer

Our client in the investment company industry is looking for a Compliance Officer to join their team in Los Angeles County


Job Description:

  • Perform pre-trade compliance reviews
  • Perform regular and ad-hoc reviews
  • Address and resolve inquiries regarding compliance issues from employees and clients
  • Update compliance systems and work with the IT Department to build custom rules
  • Perform internal audits of processes



  • 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 with professionals at all levels
  • 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 2 years’ relevant experience

Ref #24861

Dora DangCompliance Officer