Compliance Associate
直接发消息给JW Michaels & Co.的职位发布者
Los Angeles based private equity firm is seeking a junior/mid level compliance professional to join their growing team!!
- Assist with regulatory filings (e.gs., SEC forms ADV and form PF; regional licensing and registrations).
- Review employee trading and related activities to ensure compliance with firm policies.
- Lead internal and external audits and reviews of the firm’s activities and compliance program.
- Assist with “know your customer” and anti-money laundering processes and conduct due diligence on potential investors and counterparties.
- Draft corporate, partnership and limited liability company resolutions and authorities.
- Track entities and director and officer updates.
- Work with outside counsel to create and maintain charts of key terms for transactions, financing and employment arrangements.
- Assist with non-disclosure agreements.
- Review and develop Registered Investment Adviser Compliance Policies and Procedures and Code of Ethics and assist and identify areas where policies and procedures need to be developed or amended.
- Design and implement compliance training programs.
- Work with the legal counsel to maintain and improve monitoring list processes.
- 2-6 years of experience working in private equity, consulting, investments, banking, broker-dealer or other financial services firms
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职位级别
助理 -
职位性质
全职 -
职能类别
金融 -
所属行业
金融服务和投资管理
找人内推，获得JW Michaels & Co.面试的机会可以提高 2 倍
找找认识的领英会员洛杉矶地区有新的合规专员职位时接收通知。
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