Compliance Associate
Fernridge Group
Title: Compliance Associate
Location: Los Angeles, CA
Compensation Range: Competitive; commensurate with experience
Job Overview:
A leading investment management firm with over $20B in AUM is seeking a Compliance Associate to support the administration and enhancement of its regulatory compliance program. This role will work closely with the compliance team to support the firm’s SEC-registered investment adviser obligations and ensure adherence to regulatory requirements across the organization. The position offers broad exposure to compliance operations including Code of Ethics administration, marketing review, regulatory filings, and internal testing within a collaborative and fast-paced investment environment.
Highlights:
- Work closely with compliance leadership and cross-functional teams
- Hands-on experience with Code of Ethics administration and marketing rule compliance
- Opportunity to help enhance compliance technology and processes
- Collaborative environment with strong internal partnerships
- Firm is huge on internal mobility/promotions
Key Responsibilities:
- Administer the firm’s Code of Ethics, including personal trading approvals, reporting, and restricted list management
- Assist with the review and approval of marketing and branding materials
- Support oversight of third-party compliance vendors and technology platforms
- Assist with annual compliance reviews, mock examinations, and focused testing
- Support preparation of regulatory filings and documentation
- Conduct compliance research and assist with internal projects
- Develop compliance training materials and internal communications
- Maintain organized compliance documentation and records
- Monitor regulatory developments and industry best practices
- Identify potential improvements to compliance processes and tools
- Assist with ESG-related compliance initiatives and special projects
Qualifications:
- Bachelor’s degree required
- 2–3 years of compliance experience at an SEC-registered investment adviser preferred
- Familiarity with the Investment Advisers Act of 1940 and related rules (including Rule 206(4)-1)
- Strong written and verbal communication skills
- Highly detail-oriented with strong organizational and analytical skills
- Ability to manage multiple priorities in a fast-paced environment
- Proficiency in Microsoft Excel, Word, and PowerPoint
- Experience with compliance platforms such as ComplySci, Red Oak, Global Relay, or similar systems is a plus
Vacancy posted 3 days ago
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