Compliance Associate

This role is part of a Westside-based financial services firm seeking a Compliance Associate to join its office. Reports to the Chief Compliance Officer and focuses on regulatory filings, policy implementation, and day-to-day oversight of the firm's compliance program. Base pay range $110,000.00/yr - $150,000.00/yr Key Responsibilities: Support the design and delivery of compliance training. Prepare governance documents and maintain legal entity records. Provide compliance assistance to portfolio companies as needed. Participate in internal audits and external regulatory reviews. Conduct investor and counterparty diligence, including AML/KYC processes. Review and track employee trading activity to ensure compliance. Manage non-disclosure agreements and assist with contract tracking. Update compliance manuals, codes of ethics, and firm-wide policies. Assist with SEC filings, licensing renewals, and other regulatory submissions. Monitor legal and regulatory developments and recommend updates to firm practices. Qualifications: 2–5 years of compliance or legal experience within financial services, preferably private equity or investment management. High ethical standards and sound judgment. Strong communication and presentation skills. Detail-oriented with the ability to manage competing priorities. Proficiency in Microsoft Office; comfort with compliance technology a plus. We will consider qualified candidates with criminal histories in a manner consistent with the requirements of the Los Angeles Fair Chance Initiative for Hiring. #J-18808-Ljbffr