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Job Details

Compliance Officer

Location
Pasadena, CA

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Profile

Compliance Officer
Location
US-CA-Pasadena
Category
Legal & Compliance
Overview
Individual will be responsible for project management around group initiatives, including development and ongoing completion of oversight tasks associated with some aspects of the Firm’s regulatory monitoring program. The individual will also assist in maintaining the firm’s compliance with various regulatory obligations and providing service to the group’s internal clients.
Responsibilities
Project management to move new initiatives forward, particularly with respect to operational workflow and technology tools.
Lead the group’s effort on trade blotter oversight tools and technology in particular
Generally become a technology, data, and process resource within the group to spur ongoing improvement
Perform various monitoring functions to confirm compliance with **MEMBERS ONLY**SIGN UP NOW***. compliance policies, primarily focusing on handling of data. Ownership of certain monitoring functions and working to support others in the group with other functions.
Assist in addressing diligence requests and RFP responses and ongoing requests from internal staff for approvals or guidance
Conduct compliance training as needed, such as new hire orientation
Competencies:
High ethics and understanding of importance of fiduciary duty and ethical culture
Strong comfort with information technology and interest/ability to meaningfully further develop skillset
Ability to work autonomously
Strong written and verbal communication skills with appropriate diplomatic tone
Extreme attention to detail and written documentation
Previous experience in the securities industry or with investment advisers is helpful
Capacity and interest in learning about and applying investment adviser regulation requirements
Appreciation for confidentiality and discretion
Qualifications
Undergraduate degree in related field.
How to Apply

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