Job Description
Insight Global is looking for a Compliance/Operations Manager for an investment firm in Los Angelos, CA.
As a Compliance Officer, you will be responsible for ensuring our firm's compliance with all applicable federal and state regulations, including those related to investment advisory activities, and for maintaining a robust and effective compliance program.
o Assist in the completion of the Annual Financial Statements and Audit.
o Work with the firm’s CEO / COO / General Counsel and senior management to ensure compliance on regulatory matters throughout the business development and investor relations processes.
o Identify and execute on efficiency and process improvement opportunities and communicating improvements to management and other internal teams, addressing risks as raised by the support team.
o Developing sufficient internal controls to promote an effective compliance control environment.
o Collaborating with firm management and outside service providers to remediate compliance findings identified in internal and external examinations and audits.
o Assist in updating, implementing, maintaining, monitoring and enforcing a comprehensive compliance program that focuses on regulatory requirements across applicable regulatory regimes, including, but not limited to: the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, and Securities Exchange Act of 1934, and all other regulatory requirements applicable to our firm.
o Responsible for all the aspects of the day-to-day compliance functions as well as assisting with regulatory reporting and control processes mainly through interacting with our executive management team as well as independent legal, accounting, audit, administration and compliance firms.
• Regulatory Monitoring & Reporting; Compliance Monitoring & Review
• Policy and Procedure Development and Risk Assessments
Required Skills & Experience
-minimum of 2/3 years of compliance experience at a registered investment advisory firm
-Bachelor's degree
-basic understanding of the compliance requirements and related issues applicable to investment advisers
-Ability and agility to adjust to a highly competitive industry and fast-growing firm’s business priorities.
-Proficient in the use of Microsoft SharePoint, Microsoft Excel, Microsoft Word, Microsoft PowerPoint, Adobe Acrobat, Global Relay, ComplySci, and HubSpot.
• Knowledge and understanding of the capital markets, private investment fund mechanics and partnership accounting,
• Knowledge and ability to reinforce a strong culture of compliance and provide independent challenge to senior management and business partners,
• Ability to develop and implement appropriate policies and procedures and compel others to adhere to them,
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