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

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  • 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,

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