Compliance Analyst

Korn Ferry; Los Angeles (CA); On-site; USD 85,000 - 110,000; Full time

Job summary

Korn Ferry is partnering with our client, a downtown LA asset management firm, to find an experienced Compliance Analyst. This onsite role focuses on regulatory adherence, trade reviews, and policy inquiries in a fast-paced investment environment.

The incumbent will support audits and regulatory examinations, develop and maintain compliance procedures, and respond to questions from staff and clients.

Qualifications

• Bachelor’s degree in finance, business, or related field.
• 3+ years of hands-on experience in compliance or regulatory roles within an investment management or registered investment adviser environment.
• Ability to work onsite 5 days a week in DTLA.
• Experience preparing reports for internal audits or regulatory reviews is a plus

Responsibilities

• Review trades and workflows to confirm alignment with company policies, client agreements, and regulatory requirements.
• Conduct routine and special assessments to detect and resolve compliance or policy discrepancies.
• Respond to and clarify compliance-related questions from employees and clients.
• Assist in the development, implementation, and maintenance of compliance policies and procedures to support regulatory requirements.
• Prepare reports and documentation for internal audits, regulatory examinations, and management review.

Education

Bachelor’s degree in finance, business, or related field

3+ years of hands-on experience in compliance or regulatory roles within an investment management or registered investment adviser environment

Ability to work onsite 5 days a week in DTLA

Job description

Korn Ferry is partnering with our client based in DTLA in their search for an experienced Compliance Analyst.

Company Description

Our client is a global asset management / investment management firm based in downtown LA.

Position Summary

The Compliance Analyst will ensure adherence to regulatory, client, and internal guidelines through trade reviews, compliance monitoring, and resolution of policy inquiries.

Key Responsibilities

• Review trades and workflows to confirm alignment with company policies, client agreements, and regulatory requirements.
• Conduct routine and special assessments to detect and resolve compliance or policy discrepancies.
• Respond to and clarify compliance-related questions from employees and clients.
• Assist in the development, implementation, and maintenance of compliance policies and procedures to support regulatory requirements.
• Prepare reports and documentation for internal audits, regulatory examinations, and management review.

Qualifications

• Bachelor’s degree in finance, business, or related field.
• 3+ years of hands-on experience in compliance or regulatory roles within an investment management or registered investment adviser environment.
• Ability to work onsite 5 days a week in DTLA.
• Experience preparing reports for internal audits or regulatory reviews is a plus

Onsite role based in Downtown Los Angeles