Compliance Associate

Title: Compliance AssociateLocation: Los Angeles, CA Compensation Range: Competitive; commensurate with experienceJob Overview:A leading investment management firm with over $20B in AUM is seeking a Compliance Associate to support the administration and enhancement of its regulatory compliance program. This role will work closely with the compliance team to support the firm's SEC-registered investment adviser obligations and ensure adherence to regulatory requirements across the organization. The position offers broad exposure to compliance operations including Code of Ethics administration, marketing review, regulatory filings, and internal testing within a collaborative and fast-paced investment environment.Highlights:Work closely with compliance leadership and cross-functional teamsHands-on experience with Code of Ethics administration and marketing rule complianceOpportunity to help enhance compliance technology and processesCollaborative environment with strong internal partnershipsFirm is huge on internal mobility/promotions Key Responsibilities:Administer the firm's Code of Ethics, including personal trading approvals, reporting, and restricted list managementAssist with the review and approval of marketing and branding materialsSupport oversight of third-party compliance vendors and technology platformsAssist with annual compliance reviews, mock examinations, and focused testingSupport preparation of regulatory filings and documentationConduct compliance research and assist with internal projectsDevelop compliance training materials and internal communicationsMaintain organized compliance documentation and recordsMonitor regulatory developments and industry best practicesIdentify potential improvements to compliance processes and toolsAssist with ESG-related compliance initiatives and special projectsQualifications:Bachelor's degree required2-3 years of compliance experience at an SEC-registered investment adviser preferredFamiliarity with the Investment Advisers Act of 1940 and related rules (including Rule 206(4)-1)Strong written and verbal communication skillsHighly detail-oriented with strong organizational and analytical skillsAbility to manage multiple priorities in a fast-paced environmentProficiency in Microsoft Excel, Word, and PowerPointExperience with compliance platforms such as ComplySci, Red Oak, Global Relay, or similar systems is a plus

Created: 2026-05-08