Compliance Consultant IIII job in Los Angeles, CA| Recruit Arrow
Recruit Arrow
Email Password
Forgot your password?
Welcome, Guest! New User?
Tell a Friend
Success Stories
From my very first contact with Recruit Arrow, through the application process, interviews, and my acceptance of the position, this service was an invaluable asset. My recruiter gave me insight into the company by sharing her own experiences and views.


Job Search

What


 job title, keywords

Where


 city, state, zip






JOB CENTER

Your Window to a World of Opportunities


Compliance Consultant IIII
Location : California, Los Angeles
Refer job # YFHT338014
 
Job Responsibilities and Requirements: The compliance consultant is responsible for ensuring that team members adhere to internal policies and procedures, key compliance programs and all relevant US/International regulatory requirements. The Position: Responsibilities include, but are not limited to: Monitor investment teams adherence to client guidelines, internal parameters, and statutory requirements within trading-compliance system; Research validity of flagged exceptions and escalate issues to ensure violations and warnings are addressed and resolved in a timely manner; Liaise with Portfolio Management, Trading, Relationship Managers, and Operations to review, interpret, design, and implement client mandates and regulatory restrictions; Provide initial review and ongoing interpretation of client account investment restrictions (i.e. Investment Management Agreements, Prospectuses, Statement of Additional Information, Private Placement Memorandums, etc.) to ensure restrictions are coded accurately, effectively, and optimally; Code, review, update and maintain the portfolio compliance system; work with the firm s Information Technology group to optimize the compliance system and automate compliance processes; Ensure that effective controls are in place to meet federal laws and regulations and provide training, advice and education on how to comply with regulatory requirements and to monitor such compliance; US and International Regulatory Reporting. Required Qualifications: 6+ years of experience in compliance, operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk), or a combination of both; or 6+ years of IT systems security, business process management or financial services industry experience, of which 3+ years must include direct experience in compliance, operational risk management, or a combination of both Desired Qualifications: Advanced Microsoft Office skills Excellent verbal, written, and interpersonal communication skills Strong analytical skills with high attention to detail and accuracy Ability to interact with all levels of an organization.
 
 
 
[Apply Now] [Email to a Colleague]

This particular job is currently not active. However, since our clients regularly share with us similar and other job openings, we strongly recommend that you submit your resume. We shall review your resume and get in touch with you as soon as a suitable vacancy comes up to further discuss your interest in exploring the opportunity.Assisting you is our highest priority.

Please be assured that none of your materials will be forwarded to any employer without your consent. Of course, all inquiries are kept strictly confidential.


Newsletter and Job Updates