Compliance Analyst/Associate

Larson Maddox

California (MO)

On-site

USD 80,000 - 150,000

Full time

14 days+

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Benefits offered by this job

Comprehensive medical, dental, and vision coverage

Generous paid time off

401(k) retirement plan

Daily lunch and snacks

Professional development opportunities

Job summary

A leading private investment firm is seeking a Compliance Analyst to join its legal and compliance team in Santa Monica, California. This full-time role offers a unique opportunity to work within a dynamic organization responsible for over $90 billion in assets. Key responsibilities include supporting regulatory filings, monitoring compliance activities, and conducting investor due diligence. Ideal candidates should have a Bachelor's degree and 2-5 years of experience in financial services.

Qualifications

Bachelor's degree with strong academic credentials.
2-5 years of experience in relevant financial services.
Exceptional written, verbal, and presentation skills.

Responsibilities

Support regulatory filings including SEC Forms ADV and PF.
Monitor employee trading and compliance activities.
Conduct due diligence on investors and counterparties.

Skills

Written communication

Verbal communication

Analytical skills

Microsoft Office proficiency

Detail-oriented

Integrity and ethical standards

Education

Bachelor's degree

Job description

This range is provided by Larson Maddox. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

$80,000.00/yr - $150,000.00/yr

Principal Recruitment Consultant at Larson Maddox

Compliance Analyst or Associate - Private Investment Firm (On-Site in Santa Monica, CA)

A leading private investment firm is seeking a Compliance Analyst or Associate to join its legal and compliance team. This full-time, on-site role is based in Santa Monica, California, and reports directly to the Chief Compliance Officer. The position offers a dynamic opportunity to contribute to a global organization with over $90 billion in assets under management. The firm operates across private equity, credit, and related strategies, with a sector-focused approach targeting technology, industrials, and consumer businesses. With a strong track record of operational transformation and long-term strategic partnerships, the firm maintains offices across North America, Europe, the Middle East, and Asia.

Key Responsibilities

Support regulatory filings including SEC Forms ADV and PF, and manage regional licensing and registrations.
Monitor employee trading and related activities for compliance with internal policies.
Participate in internal and external audits and reviews of the compliance program.
Conduct due diligence on investors and counterparties as part of KYC and AML processes.
Draft corporate governance documents including resolutions and authorities.
Maintain records of entities and updates to directors and officers.
Collaborate with outside counsel to track key terms across transactions, financing, and employment arrangements.
Assist with the review and execution of non-disclosure agreements.
Contribute to the development and refinement of compliance policies, procedures, and the Code of Ethics.
Design and deliver compliance training programs.
Work closely with the legal team to enhance monitoring list processes and stay current on regulatory developments.
Provide legal support to portfolio companies as needed.

Qualifications

Bachelor's degree with strong academic credentials.
2-5 years of experience in private equity, investment management, banking, broker‑dealer, or financial services.
Exceptional written, verbal, and presentation skills.
Highly organized, detail-oriented, and analytical.
Demonstrated integrity and high ethical standards.
Ability to work independently and collaboratively in a fast-paced environment.
Proficiency in Microsoft Office (Excel, Word, PowerPoint, Outlook).
Eagerness to adopt technology to support business goals.

Compensation and Benefits