Onsite DTLA Compliance Analyst: Trade & Policy Oversight

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, 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.