Compliance Analyst, Finance & Banking

Our client, a Westside-based financial services firm, is seeking a Compliance Analyst to join their team. This full-time, in-office role will work closely with the Chief Compliance Officer to ensure the firm meets regulatory requirements and maintains a strong compliance framework. The position offers exposure to diverse compliance and legal matters within a global investment platform.

• Conduct due diligence and sanctions screenings as part of AML/KYC processes.
• Review marketing and investor communications for regulatory accuracy.
• Develop and deliver compliance training across the firm.
• Monitor employee trading and activity to ensure adherence to firm policies.
• Provide compliance support to portfolio companies.
• Prepare and support regulatory filings with U.S. and international authorities.
• Refine and update the firm’s compliance manual and code of ethics.
• Collaborate with outside counsel on transaction and agreement tracking.
• Assist with audits and regulatory examinations.
• Draft resolutions and maintain governance records, including director and officer appointments.

• Bachelor’s degree with strong academic credentials.
• 1–5 years’ experience in private equity, investment management, banking, broker-dealer, or related financial services.
• Ability to manage multiple priorities in a fast-paced environment.
• Excellent communication, organizational, and analytical skills.
• Proficiency in Microsoft Office; familiarity with compliance tools preferred.

We will consider qualified candidates with criminal histories in a manner consistent with the requirements of the Los Angeles Fair Chance Initiative for Hiring.