Investment Management Firm

Senior Compliance Administrator, Los Angeles, CA

Senior Compliance Administrator (Los Angeles, CA): Our client, a successful Investment Management firm with over $30B in AUM, is looking to bring on a talented and motivated compliance professional to join their team. This new hire will primarily focus on marketing materials, as well as regulatory regulations for the firm, supporting the Chief Compliance Officer with all compliance efforts.


Key Points: 

  • Firm is growing rapidly and adding this position due to their continued growth 
  • Person will focus on marketing materials, but gain exposure to all areas of the compliance program  
  • Company values a strong quality of life 
  • Positionreports directly to the CCO and will have exposure to senior management 


  • Assist with drafting new disclosures for general advertising, institutional sales and marketing materials; train other employees in required disclosures to contribute in their compliance-related functions
  • Review various regular and quarterly retail and institutional marketing materials, Requests for Proposals, Requests for Information, Due Diligence Questionnaires, and other data requests for compliance with applicable regulatory requirements; provide the CCO with support in organizational and document management duties (changes in agreements and other documents)
  • Perform periodic testing of procedures and/or transactions to monitor the efficiency of the compliance programs; assist in the preparation of annual compliance reports and other ad hoc reviews
  • Support the maintenance of essential records for marketing materials; liaise with various team members at all levels throughout the firm, including sales and marketing as needed
  • Assume responsibilityto special compliance-related projects and other ad hoc projects when necessary 


  • 5 – 7 years of relevant experience within compliance, supporting the compliance function ideally for an investment advisory firm; bachelors degree is required
  • Experience with reviewing and approving marketing and advertisement materials; basic knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Exchange Act of 1934, and other regulatory requirements
  • Highly organized and comfortable managing various tasks and projects simultaneously; strong verbal and written communication skills with a keen sense of intellectual curiosity
  • Must be a team player with the ability to manage diverse and complex projects, monitoring deadlines; excellent project and time managementskills are paramount

Job Reference #1568

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