Compliance Analyst - Rule Coding and Trade Surveillance (2 roles)

Wall Street Personnel
Los Angeles, California
Market Competitive
11 Nov 2021
11 Dec 2021
Compliance Analyst
Industry Sector
Asset Management, Insurance
Employment Type
Full Time

We have 2 separate yet similar compliance analyst roles. One is located in the Brentwood / WLA area and for now is WFH with maybe once a week coming into the office - this may change in the future to hybrid or possible 5 days in office.  The 2nd compliance role is with a large insurance firm located in the midwest and thus they are open to 100% remote!

Knowledge of Bloomberg and Compliance is required. 

The ideal candidate will be a self-starter who is detail oriented and has some financial services or investment advisory experience. This position will be located within the Compliance Department and will work with both the Deputy Chief Compliance Officer and President.

Duties of this position may include, but are not limited to the following:

• Assist with daily trade review and surveillance, rule coding, trade surveillance, 

• Maintain and update Firm’s Restricted and Watch List.

• Review and preclear employee personal trade requests.

• Support in the various testing of supervisory policies and procedures.

• Prepare, organize, and file requisite documentation.

• Maintain compliance calendar to track deadlines, including but not limited to, staying up to date on regulatory and other applicable deadlines.

• Ensures work is completed on time by monitoring the progress leading up to the deadlines.

• Organizes and maintains information that may be sensitive, confidential or technical in nature.

• Demonstrates effective written and oral communications skills with team members and managers.

• Perform other duties as assigned.

Education, Experience and Skills required:

• Bachelor's degree in Finance, Business, or Economics.

• 1 to 3 years of experience in the brokerage or investment advisor industry and/or previous Compliance experience.

• Bloomberg AIM experience preferred

• Knowledge of capital markets or asset management industry.

• Strong written and effective oral communication skills

• Excellent attention to detail and must be comfortable working effectively under pressure in a rapidly changing environment.

• Demonstrates ability to prioritize work and complete in a timely manner.

• Strong competency in utilizing MS Word, Excel, PowerPoint and Outlook.

• Ability to organize and prioritize work without supervision.

• Self-starter with willingness to learn and adapt to new and challenging tasks.

• Demonstrates ability to utilize technology to enhance and automate, refine, and streamline processes.





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