Compliance Associate

Career Group; Los Angeles, California (CA, MO); On-site; USD 110,000 - 150,000; Full time

Job summary

A financial services firm in Los Angeles is seeking a Compliance Associate to oversee regulatory activities, assist with compliance training, and conduct audits. The ideal candidate has 2–5 years of relevant experience, high ethical standards, and strong communication skills. Join a dynamic team committed to compliance excellence and contribute to maintaining firm-wide policies.

Qualifications

• 2–5 years of compliance or legal experience within financial services, preferably private equity or investment management.
• High ethical standards and sound judgment.
• Ability to manage competing priorities.

Responsibilities

• Support the design and delivery of compliance training.
• Prepare governance documents and maintain legal entity records.
• Provide compliance assistance to portfolio companies as needed.
• Conduct investor and counterparty diligence.
• Review and track employee trading activity.

Skills

Strong communication and presentation skills

Detail-oriented

Proficiency in Microsoft Office

Job description

This role is part of a Westside-based financial services firm seeking a Compliance Associate to join its office. Reports to the Chief Compliance Officer and focuses on regulatory filings, policy implementation, and day-to-day oversight of the firm's compliance program.

Base pay range

$110,000.00/yr - $150,000.00/yr

Key Responsibilities:

• Support the design and delivery of compliance training.
• Prepare governance documents and maintain legal entity records.
• Provide compliance assistance to portfolio companies as needed.
• Participate in internal audits and external regulatory reviews.
• Conduct investor and counterparty diligence, including AML/KYC processes.
• Review and track employee trading activity to ensure compliance.
• Manage non-disclosure agreements and assist with contract tracking.
• Update compliance manuals, codes of ethics, and firm-wide policies.
• Assist with SEC filings, licensing renewals, and other regulatory submissions.
• Monitor legal and regulatory developments and recommend updates to firm practices.

Qualifications:

• 2–5 years of compliance or legal experience within financial services, preferably private equity or investment management.
• High ethical standards and sound judgment.
• Strong communication and presentation skills.
• Detail-oriented with the ability to manage competing priorities.
• Proficiency in Microsoft Office; comfort with compliance technology a plus.

We will consider qualified candidates with criminal histories in a manner consistent with the requirements of the Los Angeles Fair Chance Initiative for Hiring.