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,
...theatre needs, and/or employee availability, as either variable hour, part-time fixed, part-time regular or full-time hourly employees whose... ...duties as assigned by management Pay Scale Information : [$17.15] Benefits : Our team receives the perk of enjoying free...
...Software Engineer Location - Herndon, VA The selected candidate will formulate/define specifications for complex operating software programming applications or modify/maintain complex existing applications using engineering releases and utilities from the manufacturer...
...We are excited to offer a lucrative part-time opportunity for a motivated Outside Sales Representative to join our team and help small businesses thrive with our Managed Business Services. In this role, you will have the flexibility to work 20 hours per week while earning...
...adjusted survival, patient experience, level of nursing care and successfully returning patients home following... ...high-quality pre/post general surgical care as well as managing the Bariatric Surgery Center of Excellence. The RN will be responsible for providing patient-...
This position can be work from home anywhere in the United States!!! APPLY & GET STARTED -$600 WEEKLY ! My Name is John Cook 73 years... ...Assistant / Errand and Earn $600 weekly We are looking for immediate employment as this is a wonderful secondary work from home...