Compliance Associate

Partnership Employment; Los Angeles (CA); On-site; USD 120,000 - 180,000; Full time

Job summary

Partnership Employment in Los Angeles is seeking a regulatory compliance professional to provide ongoing support to clients, supervising personal securities activity, surveillance programs, and trading oversight. You will coordinate filings such as Form ADV and related disclosures, manage registrations with the SEC/CFTC/NFA and state regulators, and assist in regulatory reviews and examinations.

The role emphasizes rigorous risk evaluation, accurate documentation, and delivering compliance

Qualifications

• Regulatory compliance knowledge
• Attention to detail
• Strong communication skills
• Relationship building

Responsibilities

• Provide ongoing regulatory compliance support to clients, including supervision of employee personal securities activity, communications surveillance, firm-level trading oversight, and management of restricted/security watch lists.
• Coordinate preparation and submission of regulatory reports and filings, including Form ADV, Form 13-related filings, and other applicable disclosures.
• Oversee client registration and regulatory status requirements with relevant authorities, including the SEC, CFTC, NFA, and applicable state regulators.
• Support clients throughout regulatory reviews and examinations, including preparation of materials, coordination of responses, and assessment of compliance programs.
• Investigate potential compliance issues and breaches, ensuring findings are appropriately documented, escalated where necessary, and resolved in accordance with established policies and procedures.
• Monitor developments in applicable laws, rules, and regulatory guidance, assess their potential impact, and advise clients on necessary changes to their compliance frameworks.
• Evaluate client advertising, promotional, and marketing content to help ensure alignment with the Advisers Act and other relevant regulatory standards.
• Deliver and support annual compliance training programs for clients and their personnel, covering relevant regulatory obligations and internal policies.
• Analyze regulatory, operational, and client information to identify issues, evaluate risks, and support well-reasoned compliance decisions.
• Maintain a consistently high standard of accuracy, attention to detail, and quality across all compliance deliverables.
• Build and maintain effective professional relationships with regulators, clients, industry professionals, and internal finance and leadership teams.
• Handle sensitive matters with sound judgment, discretion, diplomacy, confidentiality, and professionalism.

Job description

• Provide ongoing regulatory compliance support to clients, including supervision of employee personal securities activity, communications surveillance, firm-level trading oversight, and management of restricted/security watch lists.
• Coordinate the preparation and submission of regulatory reports and filings, including Form ADV, Form 13-related filings, and other applicable disclosures.
• Oversee client registration and regulatory status requirements with relevant authorities, including the SEC, CFTC, NFA, and applicable state regulators.
• Support clients throughout regulatory reviews and examinations, including preparation of materials, coordination of responses, and assessment of compliance programs.
• Investigate potential compliance issues and breaches, ensuring findings are appropriately documented, escalated where necessary, and resolved in accordance with established policies and procedures.
• Monitor developments in applicable laws, rules, and regulatory guidance, assess their potential impact, and advise clients on necessary changes to their compliance frameworks.
• Evaluate client advertising, promotional, and marketing content to help ensure alignment with the Advisers Act and other relevant regulatory standards.
• Deliver and support annual compliance training programs for clients and their personnel, covering relevant regulatory obligations and internal policies.
• Analyze regulatory, operational, and client information to identify issues, evaluate risks, and support well-reasoned compliance decisions.
• Maintain a consistently high standard of accuracy, attention to detail, and quality across all compliance deliverables.
• Build and maintain effective professional relationships with regulators, clients, industry professionals, and internal finance and leadership teams.
• Handle sensitive matters with sound judgment, discretion, diplomacy, confidentiality, and professionalism.