Compliance Administrator (Finance Industry) Compliance Administrator (Finance Industry) …

Kayne Anderson Rudnick Investment Mgt
in Los Angeles, CA, United States
Permanent, Full time
Last application, 27 Mar 20
DOE
Kayne Anderson Rudnick Investment Mgt
in Los Angeles, CA, United States
Permanent, Full time
Last application, 27 Mar 20
DOE
Kayne Anderson Rudnick Investment Management (“KAR”) is seeking a highly motivated, committed individual with strong initiative to join our Team as a Compliance Administrator. The Compliance Administrator is a new role at KAR and will be primarily responsible for the review of KAR’s sales and marketing materials for compliance with applicable SEC rules, regulations and guidance. The Compliance Administrator will also support the Firm’s compliance team in a variety of areas, including policy and procedure testing and development, annual compliance review support, compliance manual maintenance, and other special projects as assigned by the Chief Compliance Officer and Compliance Director.

·       Reviews the firm’s various regular and quarterly retail and institutional marketing materials, Requests for Proposals (“RFPs”), Requests for Information, Due Diligence Questionnaires, and other data requests for compliance with applicable regulatory requirements and accuracy as they relate to the firm’s events, policies or operations

·       Works with the Chief Compliance Officer to draft new disclosures where necessary for general advertising, institutional sales and marketing materials, and train other professionals in required disclosures to assist in their compliance-related responsibilities

·       Supports the maintenance of appropriate records for marketing materials

·       Performs periodic tests of procedures and/or transactions to monitor the efficiency of the compliance programs and assist in the preparation of annual compliance reports and other ad hoc reviews

·       Supports the Chief Compliance Officer in certain organizational and document management-type functions (e.g., organizing and implementing changes to agreements and other documents)

·       Liaises with various groups and individuals at all levels throughout the firm, including sales and marketing, as well as KAR’s parent company, as needed

·       Undertakes special compliance-related projects, as assigned, and collaborates with the other compliance team members on routine and ad hoc projects.

QUALIFICATIONS:

·       Bachelor’s degree with 3-5 years of experience as a compliance professional supporting the compliance function for an investment adviser firm with direct experience reviewing and approving marketing/advertising materials

·       Basic knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Exchange Act of 1934, and other regulatory requirements

·       Team player with the ability to manage diverse and complex projects according to timelines that the person will create and monitor; therefore, strong project and time management skills are a must

·       Highly organized and comfortable managing a variety of tasks and projects simultaneously

·       Excellent verbal and written communications skills with a strong intellectual curiosity

BENEFITS:

·       Competitive salary

·       401k plan

·       Medical/Dental

·       Lunch provided daily

·       Paid Parking

·       Potential for bonus participation

 

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