Compliance Analyst

SteelPeak Wealth; Los Angeles (CA); On-site; USD 100,000 - 150,000; Full time

Benefits offered by this job

Medical insurance

Dental insurance

Vision insurance

401(k) with company match

Job summary

SteelPeak Wealth seeks an experienced Compliance Analyst to support regulatory obligations across the firm. The role focuses on monitoring, testing, filings, and policy updates to sustain a robust compliance program.

The ideal candidate brings 5+ years of SEC-registered investment adviser experience and the ability to manage multiple priorities while collaborating across teams. On-site role in Los Angeles with comprehensive benefits.

Qualifications

• 5+ years of relevant compliance and regulatory experience, preferably within an SEC-registered investment adviser or wealth management firm.
• Strong knowledge of investment adviser regulations, compliance requirements, and industry best practices.
• Experience with compliance monitoring, testing, regulatory filings, and related compliance program activities.
• Highly organized and detail-oriented with strong analytical, problem-solving, and follow-through skills.

Responsibilities

• Manage recurring compliance monitoring, testing, and reporting activities, including weekly, monthly, quarterly, and annual requirements.
• Support annual compliance reviews, mock audits, regulatory examinations, and other compliance assessments.
• Prepare and coordinate required regulatory filings, including Forms U4, U5, ADV, 13F, 13H and other applicable filings.
• Review marketing and advertising materials for compliance with applicable regulatory requirements.
• Conduct periodic testing and monitoring of personal trading, political contributions, gifts and entertainment, outside business activities, and other employee compliance matters.
• Draft, review, and update compliance manuals, the Code of Ethics, policies, procedures and other compliance documentation.
• Review client accounts for suitability and alignment with each client risk tolerance and investment policy statements.
• Monitor books and records requirements and review employee disclosures, pre-clearance requests, and certifications for compliance with firm policies and regulatory standards.
• Support compliance-related employee onboarding, training, and ongoing certifications.
• Serve as a compliance resource across the firm and support regulatory developments, ongoing compliance initiatives, and ad hoc projects.

Skills

Regulatory knowledge

Analytical skills

Documentation & reporting

Cross-functional collaboration

Tools

ENVESTNET/Tamarac CRM

ComplySci

Job description

We are seeking an experienced Compliance Analyst to support SteelPeak’s compliance program and help ensure the firm meets its regulatory obligations. This role will manage key compliance activities, including monitoring and testing, regulatory filings, policy and procedure updates, and ongoing compliance initiatives.

The ideal candidate brings strong RIA compliance experience, sound judgment, and the ability to manage multiple priorities while working collaboratively across the organization.

Key Responsibilities

• Manage recurring compliance monitoring, testing, and reporting activities, including weekly, monthly, quarterly, and annual requirements
• Support annual compliance reviews, mock audits, regulatory examinations, and other compliance assessments
• Prepare and coordinate required regulatory filings, including Forms U4, U5, ADV, 13F, 13H and other applicable filings
• Review marketing and advertising materials for compliance with applicable regulatory requirements
• Conduct periodic testing and monitoring of personal trading, political contributions, gifts and entertainment, outside business activities, and other employee compliance matters
• Draft, review, and update compliance manuals, the Code of Ethics, policies, procedures and other compliance documentation
• Review client accounts for suitability and alignment with each client risk tolerance and investment policy statements
• Monitor books and records requirements and review employee disclosures, pre-clearance requests, and certifications for compliance with firm policies and regulatory standards
• Support compliance-related employee onboarding, training, and ongoing certifications
• Serve as a compliance resource across the firm and support regulatory developments, ongoing compliance initiatives, and ad hoc projects

Qualifications

• 5+ years of relevant compliance and regulatory experience, preferably within an SEC-registered investment adviser or wealth management firm
• Strong knowledge of investment adviser regulations, compliance requirements, and industry best practices
• Experience with compliance monitoring, testing, regulatory filings, and related compliance program activities
• Highly organized and detail-oriented with strong analytical, problem-solving, and follow-through skills
• Ability to exercise sound judgment, work independently, and manage multiple priorities and competing deadlines
• Strong written and verbal communication skills with the ability to work effectively across different areas and levels of the organization
• Proficient to advanced Microsoft Office skills; experience with ENVESTNET/Tamarac CRM and compliance platforms such as ComplySci preferred

Why Join SteelPeak?

• Join a growing firm where your contributions are visible and valued.
• Collaborative office environment with exposure to a broad range of compliance matters and business areas.
• Comprehensive benefits package including medical, dental, and vision insurance.
• 401(k) with company match.

We are an equal opportunity employer and consider all qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, or any other protected status under applicable law.

We provide reasonable accommodations in accordance with applicable law.

As part of our hiring process, we may use technology, including artificial intelligence tools, to assist with tasks such as job description development and candidate evaluation. All final employment decisions are made by our team and comply with applicable equal employment opportunity laws.