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Compliance Associate
Compliance AssociateCareer Group • Los Angeles, CA, US
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Compliance Associate

Compliance Associate

Career Group • Los Angeles, CA, US
2 days ago
Job type
  • Full-time
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.

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    Compliance Associate • Los Angeles, CA, US