International investment management firm is actively seeking a Compliance Analyst for their downtown Los Angeles office. Responsibilities will involve interfacing with the marketing and law departments to provide assistance with broker-dealer compliance and the general code of ethics compliance. The ideal candidate will be experienced in the Financial Services industry, Compliance or Securities and take a proactive and professional approach to all tasks at hand. This is an excellent opportunity to join forces with a top-tier firm that is a leader in its industry. This is a temporary position that will run from May to September, and hours will be 7 -- 4 pm with flexibility for overtime.
Responsibilities:
Streamline documents, ensure they comply AML policies and followup with Legal and Marketing departments as necessary
Maintain broker client list by properly flagging clients to satisfy regulations
Perform AML checks, FinCEN reports and OFAC reviews and help prepare and distribute the Code of Ethics
Track correspondence for the distribution of the Code of Ethics and compile data for use in reports
Ensure that compliance is undertaken with the Code of Ethics policies by processing personal trading brokerage statements and trade confirmations
Requirements:
Bachelor's degree
2-4 years of experience in compliance or accounting within financial services industry;
Must be knowledgeable in securities
Capable of prioritizing and executing multiple tasks in a dynamic, deadline-oriented manner
Strong verbal and written communication skills, including the ability to interpret written guidelines and legal documents
Polished, professional demeanor and excellent organization skills
Advanced proficiency in MS Office (Excel, Word, and Outlook)
- Compensation: to $33/hr
- Principals only. Recruiters, please don't contact this job poster.
- Please, no phone calls about this job!
- Please do not contact job poster about other services, products or commercial interests.
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