Compliance Consultant Job at Management Consulting Firm, Los Angeles, CA

UGtFTHNmVk03ZXNsM0Q1TFg3UHh1RGxVTlE9PQ==
  • Management Consulting Firm
  • Los Angeles, CA

Job Description

Associate Director – Compliance Consulting

Location: Los Angeles

Firm Overview

A prominent compliance consulting firm. The firm serves clients, including hedge funds, private equity, real estate managers, banks, and broker-dealers.

Role Overview

This hire will provide senior oversight of regulatory compliance matters for a diverse portfolio of clients, ensuring they meet SEC, CFTC/NFA, FINRA, and other regulatory requirements. This is a full-time, client-facing role with significant growth and revenue-sharing opportunities.

Key Responsibilities

  • Client Management: Act as the primary day-to-day compliance oversight resource for a portfolio of clients.
  • Regulatory Expertise: Develop and implement policies and procedures, including compliance manuals, codes of ethics, and MNPI protocols.
  • Mock Audits: Conduct regulatory mock examinations, including document reviews, onsite interviews, and report drafting.
  • Training: Provide compliance training on marketing, personal trading, electronic communications surveillance, and best execution.
  • Risk Management: Anticipate and address client regulatory risks, focusing on key priorities without compromising quality.
  • Business Development: Support or lead sales cycles, including pitches, proposals, and follow-ons.

Qualifications:

  • 5+ years in compliance within hedge funds, private equity, consulting firms, or asset managers.
  • Strong knowledge of SEC, CFTC/NFA, and FINRA regulations. Experience with FCA or other global regulators is a plus.
  • Education: Undergraduate degree required; J.D. or advanced degree preferred.

#34632

Job Tags

Full time,

Similar Jobs

HCA Enterprise

Emergency Medicine Physician Assistant Job at HCA Enterprise

 ...Description Specialization: Emergency Medicine Job Summary: Methodist Hospital Atascosa is recruiting skilled and dedicated...  ...emergency medicine nurse practitioners (acute care) and physician assistants to join our collegial team 45 minutes south of San... 

Blue Shield of California

Actuarial Analyst, Senior Job at Blue Shield of California

 ...and Trend Analytics team drives the development of an affordable provider network through data analytics and expertise. The Senior Actuarial Analyst will report to the Senior Manager. In this role you will perform financial analyses and modeling for provider contracting... 

ScribeAmerica

Medical Scribe Job at ScribeAmerica

20 years ago we set the standard for medical scribes. Today were redefining it. ScribeAmerica is a growing organization with real opportunities to advance your career in the healthcare field. Join physicians and providers on the front lines and gain valuable experience... 

Insight Global

State Trooper Job at Insight Global

Salary: $64,117.66 Must Haves: Must be at least 21 years of age by 7/13/2026 (at the completion of AZ P.O.S.T. Basic Training Curriculum) Must have a clean record with no history of drug use or involvement with illegal substances By the starting date, must be ...

Ultimate Staffing

Manufacturing Engineering, Assembly Job at Ultimate Staffing

 ...MANUFACTURING ENGINEER JOB DESCRIPTION Responsibilities: Act as liaison with engineering in releasing new products. Design, build, wire, plumb, program, debug, and maintain new equipment. Review and set up optimized product flow through standard work....