Compliance Analyst

Korn Ferry is partnering with our client based in DTLA in their search for an experienced Compliance Analyst.

Company Description

Our client is a global asset management / investment management firm based in downtown LA.

Position Summary

The Compliance Analyst will ensure adherence to regulatory, client, and internal guidelines through trade reviews, compliance monitoring, and resolution of policy inquiries.

Key Responsibilities

• Review trades and workflows to confirm alignment with company policies, client agreements, and regulatory requirements.
• Conduct routine and special assessments to detect and resolve compliance or policy discrepancies.
• Respond to and clarify compliance-related questions from employees and clients.
• Assist in the development, implementation, and maintenance of compliance policies and procedures to support regulatory requirements.
• Prepare reports and documentation for internal audits, regulatory examinations, and management review.

Qualifications

• Bachelor’s degree in finance, business, or related field.
• 3+ years of hands-on experience in compliance or regulatory roles within an investment management or registered investment adviser environment.
• Ability to work onsite 5 days a week in DTLA.
• Experience preparing reports for internal audits or regulatory reviews is a plus

Onsite role based in Downtown Los Angeles

Salary Range: $90k-115k + bonus

SE#510787265