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Senior Associate / Associate Director - Compliance Consultant

Atlantic Group
Los Angeles, CA Full Time
POSTED ON 4/29/2025
AVAILABLE BEFORE 5/29/2025

Senior Associate / Associate Director - Compliance Consultant

Senior Associate / Associate Director - Compliance Consultant

Compensation : $130k-$180k base bonus

Responsibilities :

  • Lead and support the sales cycle; pitches, proposals, and general contract terms
  • Support a large portfolio of clients as the primary resource for daily oversight
  • Maintain knowledge of compliance and regulatory matters relating to investment advisor and broker-dealer rules
  • Understand regulatory mock examination audits, including documentation requests, onsite reviews and report drafting
  • Lead clients on developing policies and procedures relating to compliance manuals, code of ethics and other areas within the business
  • Lead compliance protocols and training regarding use of expert networks / MNPI, marketing, personal trading, electronic communications surveillance, best execution, SEC 206(4)-7 reviews, etc.
  • Anticipate client regulatory risks and expectations
  • Be up to date on current regulatory developments and abreast of new developments on the horizon
  • Experience with Financial Conduct Authority (FCA) or other global regulators a plus

REQUIREMENTS :

  • Undergrad degree required from an accredited college or university, J.D. or Advanced degree a plus
  • 6-8 years of total industry experience working at one or more asset managers (in-house), law firm (paralegal), advisory services firm or ex. regulator
  • Strong inter-personal skills, ability to independently (or as part of a team) work on-site at a client office
  • Excellent written and verbal communication skills
  • Independent, self–starter, entrepreneurial mind-set, as well as collaborative problem solver
  • Strong analytical and research skills
  • Ability to multi-task and prioritize across a range of projects with constantly shifting priorities in a team environment
  • Ability to master new tasks quickly and effectively
  • Must have the ability to start with limited restrictions

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    Salary : $130,000 - $180,000

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