Compliance Consultant Job at Management Consulting Firm, Los Angeles, CA

S1lWMm95R1dxYzg3SEthVHYxdlAxM2szVmc9PQ==
  • Management Consulting Firm
  • Los Angeles, CA

Job Description

Associate Director – Compliance Consulting

Location: Los Angeles

Firm Overview

A prominent compliance consulting firm. The firm serves clients, including hedge funds, private equity, real estate managers, banks, and broker-dealers.

Role Overview

This hire will provide senior oversight of regulatory compliance matters for a diverse portfolio of clients, ensuring they meet SEC, CFTC/NFA, FINRA, and other regulatory requirements. This is a full-time, client-facing role with significant growth and revenue-sharing opportunities.

Key Responsibilities

  • Client Management: Act as the primary day-to-day compliance oversight resource for a portfolio of clients.
  • Regulatory Expertise: Develop and implement policies and procedures, including compliance manuals, codes of ethics, and MNPI protocols.
  • Mock Audits: Conduct regulatory mock examinations, including document reviews, onsite interviews, and report drafting.
  • Training: Provide compliance training on marketing, personal trading, electronic communications surveillance, and best execution.
  • Risk Management: Anticipate and address client regulatory risks, focusing on key priorities without compromising quality.
  • Business Development: Support or lead sales cycles, including pitches, proposals, and follow-ons.

Qualifications:

  • 5+ years in compliance within hedge funds, private equity, consulting firms, or asset managers.
  • Strong knowledge of SEC, CFTC/NFA, and FINRA regulations. Experience with FCA or other global regulators is a plus.
  • Education: Undergraduate degree required; J.D. or advanced degree preferred.

#34632

Job Tags

Full time,

Similar Jobs

Genesis Technical & Industrial Staffing

Construction Manager Job at Genesis Technical & Industrial Staffing

Construction Manager for Industrial Projects (not commercial) Primary Responsibilities: Construction Oversight: Lead and manage all construction activities, ensuring projects are completed on time, within budget, and to specified quality standards. Design Facilitation...

Medix™

Clinical Research Coordinator - 243120 Job at Medix™

 ...Seeking a Clinical Research Coordinator (Masked IP Prep) to join our clinical trials team. This role involves investigational product (IP) preparation under masking/blinding protocols, coordinating patient visits, maintaining regulatory compliance, and upholding GCP... 

Hudson RPO

Production Planner Scheduler Job at Hudson RPO

 ...POSITION: Production Planner/Scheduler Shift: 1st Shift Monday-Friday Job Overview: Ensure that all necessary requirements for replenishment are properly planned and that the production operations at the site are planned and executed to maximize... 

Buchheit Inc

Retail Department Manager - Full Time Job at Buchheit Inc

 ...# Be familiar with and enforce all policies and procedures # Oversee assigned area through effective delegation and management of work, employees, time, and resources # Maintain working knowledge of products and services # May operate forklift or industrial truck... 

KellyMitchell Group

Administrative Assistant Job at KellyMitchell Group

 ...Job Summary: Our client is seeking an Administrative Assistant to join their team! This position is located in Englewood, Colorado. Duties: Provide administrative support to a department or individual Process, file, fax, answer phones and receive and direct...