AVP, Compliance & Regulatory Risk

Socket.dev; Los Angeles (CA); On-site; USD 140,000 - 180,000; Full time

Benefits offered by this job

Medical/Dental/Vision

HSA with employer contrib

401(k) with company match

PTO and holidays

Parental leave

Professional development

Wellness program

Volunteer time off

Job summary

CIM Group seeks an AVP of Compliance in Los Angeles to lead and execute the compliance program for investment advisers. You will drive risk assessments, regulatory filings, data privacy, and third-party risk management across the firm.

Join CIM to strengthen controls, guide operational compliance, and partner with leadership on audits, training, and program enhancements while supporting a robust and compliant investing platform.

Qualifications

• 6+ years of investment adviser compliance experience.
• Working knowledge of major securities and banking acts.

Responsibilities

• Coordinate compliance testing and remediation tracking.
• Prepare and submit Form ADV and Form PF filings.
• Contribute to data privacy program and training.
• Lead third‑party risk reviews across vendor lifecycle.
• Administer AML and KYC processes and monitoring.
• Support process improvements and regulatory reporting.

Skills

Regulatory compliance

Regulatory filings

Data privacy

AML/KYC

Vendor risk management

Education

Bachelor's degree

Job description

CIM Group seeks an AVP of Compliance in Los Angeles to lead and execute the compliance program for investment advisers. You will drive risk assessments, regulatory filings, data privacy, and third-party risk management across the firm.

Join CIM to strengthen controls, guide operational compliance, and partner with leadership on audits, training, and program enhancements while supporting a robust and compliant investing platform.