Interim Compliance Associate (Project)

Our client in the financial services industry is looking for an Interim Compliance Associate to join their team in Los Angeles County


Job Description:

  • Assist with preparation of regulatory filings
  • Assist with compliance program quarterly testing
  • Assist with the portfolio monitoring of accounts versus investment guidelines
  • Participate in the compliance review of firm marketing materials
  • Respond to due diligence questionnaires and compliance requests
  • Participate in Compliance Department initiatives



  • 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 preferred and a minimum of 3 years’ relevant experience

Ref #24953

Dora DangInterim Compliance Associate (Project)