Los AngelesFull TimeLegal
Remotely
excelsecuritynfacftcglobal relayform advform 13mycomplianceoffice
Job Description
📋 Description
- Support a varied portfolio of clients across the investment management sector in a client-facing
- Assist with day-to-day compliance topics such as personal trading, email reviews, and monitoring.
- Prepare and submit regulatory filings (e.g., Form ADV, Form 13).
- Manage client registrations with regulators (SEC, CFTC) and support regulatory examinations.
- Review materials to ensure alignment with Advisers Act and other requirements.
- Participate in annual compliance training and produce high-quality work across assignments.
🎯 Requirements
- Bachelor’s degree
- 1 to 3 years of relevant compliance experience
- Knowledge of CFTC, NFA, SEC practices is a plus
- Strong MS Office skills (Teams, Excel, Word, Outlook, PowerPoint)
- Excellent written and verbal communication
- Experience with MyComplianceOffice and Global Relay is advantageous
Back to all jobs
