What are the responsibilities and job description for the Compliance Analyst position at Larson Maddox?
A well-established and growing investment management firm is seeking a Compliance Analyst to join the team and report directly to the Chief Compliance Officer. An ideal candidate will have investment advisory compliance experience and will have worked with managing the day-to-day compliance program at an RIA, fund, or private investment firm. Any experience with Code of Ethics management, compliance testing, and regulatory filings is welcomed. Any experience with registered funds is a plus.
Requirements:
- 3 years of compliance experience within investment management or a related field
- Experience with compliance program management such as Code of Ethics
- Ability to work well independently and escalate appropriate issues
- Effective communication with relevant stakeholders
