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Compliance Officer job in Los Angeles at Robert Half

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Compliance Officer at Robert Half

Compliance Officer

Robert Half Los Angeles, CA Full-Time
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Ref ID: 00290-0012309601

Classification: Compliance Officer

Compensation: DOE

A highly regarding investment firm is seeking a compliance officer to assist with overseeing the development, implementation, maintenance and support of the fund compliance programs for the organization. To be considered, candidates must have experience with compliance related to investment activities under the Advisers Act, ERISA, state privacy laws, and/or OFAC. This investment firm offers excellent benefits, a hybrid schedule and a collaborative work environment. Apply today!

Major responsibilities

  • Review and approve investment marketing materials
  • Regulatory filings
  • Respond to SEC audits and other audits
  • Monitor compliance with OFAC requirements
  • Assist with compliance reviews and disclosures for all investment teams
  • Work collaboratively with Investment Marketing team for review of all materials.

- Strong organizational and follow up skills

- Bachelor's degree or equivalent, relevant experience (JD preferred)

- Excellent analytical, written and verbal communication skills

- Minimum of 5+ years regulatory related work experience in a financial services/investment firm

- Strong understanding of industry regulations, and extensive compliance experience with complex risk management programs

Robert Half is the world’s first and largest specialized talent solutions firm that connects highly qualified job seekers to opportunities at great companies. We offer contract, temporary and permanent placement solutions for finance and accounting, technology, marketing and creative, legal, and administrative and customer support roles.

Robert Half puts you in the best position to succeed by advocating on your behalf and promoting you to employers. We provide access to top jobs, competitive compensation and benefits, and free online training. Stay on top of every opportunity – even on the go. [ Link removed ] - Click here to apply to Compliance Officer and get 1-tap apply, instant notifications for AI-matched jobs, and more.

Questions? Call your local office at

. Robert Half will consider qualified applicants with criminal histories in a manner consistent with the requirements of the San Francisco Fair Chance Ordinance. All applicants applying for U.S. job openings must be legally authorized to work in the United States. Benefits are available to temporary professionals. Visit [ Link removed ] - Click here to apply to Compliance Officer for more information.

© 2022 Robert Half. Robert Half is not a law firm and does not provide legal representation. Robert Half project lawyers do not constitute a law firm among themselves. An Equal Opportunity Employer. M/F/Disability/Veterans. By clicking “Apply Now,” you’re agreeing to Robert Half’s Terms of Use.

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