Job Title: Associate Compliance Analyst	Salary: Compensati / Monthly
Location: Newport Beach, CA	Type: Full-Time
Zip Code: 92660

Description:

Common job duties will include assisting principal with:
? Analyzing & determining the need for regulatory filings and preparing such filings
? Preparing written compliance policies and procedures for clients
? Creating forms and compliance calendars
? Reviewing the books & records and compliance programs of clients
? Staying current on relevant regulatory changes
? Researching rules and regulations
? Interpreting & summarizing laws & regulations and applying those to client situations
? Developing, in concert with company partners, new processes, products, and services
? Creating and implementing internal operational policies and procedures
? Developing and maintaining strong working relationships with other compliance contacts in the industry
? Traveling to various client sites (approx 20% travel)
? Providing individualized compliance consulting
? Maintaining client files and performing general office administrative work
? Completing special projects as assigned

The ideal candidate will demonstrate the following:
? 2+ years prior in-house investment adviser compliance experience is a requirement for this position
? 4-year college degree in accounting, business or related discipline preferred
? Prior paralegal and/or securities law experience a strong plus
? Working knowledge of Federal and State securities laws and rules
? Exceptionally organized and strong attention to detail
? Ability to handle multiple tasks efficiently
? Self-starter with the ability to work under limited supervision
? Strong interpersonal and communication skills
? Excellent writing skills
? Proven research, analytical, & problem-solving skills
? Ability to express complex technical information clearly & concisely
? Advanced working knowledge of Microsoft Office programs, incl. Excel, Word and Access
? Entrepreneurial spirit
? Strong desire for a career in compliance
? Unparalleled integrity

This new position presents an opportunity to get in on the ground floor of a budding firm and is ideal for an energetic person, seeking a long-term career in compliance. Responsibilities may increase with the growth of the firm and increased experience.

Report this job to Get Paralegal Jobs

Protect your privacy online when applying to jobs.
Never give your social security number to a
prospective employer, provide credit card or bank
account information, or perform any sort of
monetary transaction. Learn more here »