AVP, Compliance & Risk Strategy

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

Job summary

CIM Group is seeking an AVP to lead and coordinate CIM's compliance program for registered and non-registered investment advisers in Los Angeles. You will drive regulatory filings, data privacy initiatives, vendor risk reviews, and AML/KYC processes while guiding cross-functional teams and assuring regulatory adherence.

The role requires deep regulatory knowledge, superior coordination, and hands-on program management to strengthen controls and deliver compliant outcomes for CIM Group.

Qualifications

• Bachelor's degree required.
• 6+ years of investment adviser compliance experience.
• Working knowledge of legal and compliance terminology and concepts.
• Understanding of the Investment Advisers Act, Investment Company Act, Securities Exchange Act, and Bank Secrecy Act.

Responsibilities

• Coordinate risk assessment and testing, document findings, and track remediation.
• Prepare, review, and submit Form ADV and Form PF filings.
• Contribute to the firm's data privacy program and incident response efforts.
• Oversee third-party risk reviews across the vendor lifecycle with stakeholders.
• Administer AML/KYC processes and ongoing monitoring.
• Develop reports and documentation to support compliance program oversight.

Education

Bachelor's degree

Job description

CIM Group is seeking an AVP to lead and coordinate CIM's compliance program for registered and non-registered investment advisers in Los Angeles. You will drive regulatory filings, data privacy initiatives, vendor risk reviews, and AML/KYC processes while guiding cross-functional teams and assuring regulatory adherence.

The role requires deep regulatory knowledge, superior coordination, and hands-on program management to strengthen controls and deliver compliant outcomes for CIM Group.