Compliance Analyst

Posted: 12/29/2021
Full Time
Los Angeles, CA
The Compliance Analyst will be responsible for acting as one of the primary points of contact for corporate personnel, regarding compliance with our Code of Ethics, Code of Conduct and use of compliance-related reporting systems, and assisting the Compliance team with day-to-day operations.
Essential Functions:
  • Assist personnel with Code-related questions, including those related to personal trading, political activity, charitable contributions and gifts and entertainment
  • Assist with the distribution of compliance certifications through the firm’s automated compliance system
  • Connect new brokerage account feeds and assist personnel with brokerage account reporting
  • Coordinate new employee onboarding and compliance reporting
  • Conduct in-person new hire training on compliance-related policies and procedures
  • Investigate and document suspected and actual violations of firm policies
  • Assist with quarterly and annual testing and monitoring of policies and procedures
  • Assist in the drafting and distributing of compliance department communications
  • Assist with quarterly reviews (e.g., political activity, gifts and entertainment, FCPA)
  • Collect, analyze, and summarize information for reporting and senior approval purposes
  • Provide and maintain quality service to firm personnel by establishing and enforcing organizational standards
  • Skills and Qualifications:
  • Hands on, day-to-day experience processing code requests and questions
  • Ability to embrace complex and fast-paced environments
  • Organized with time management skills, including prioritizing responsibilities
  • Strong communication and presentation skills
  • Critical thinking and problem-solving
  • Adaptable and collegial
  • Educational/Experience Requirements:
  • Bachelor of Arts or Bachelor of Science with related experience or equivalent experience in Compliance
  • Familiarity with Investment Advisers Act of 1940 preferred
  • Familiarity with third-party compliance software (e.g., StarCompliance) preferred
  • At least 3 years of investment management compliance experience
  • CIM does not accept unsolicited resumes from Agencies.  Any unsolicited resumes received from Agencies will be considered property of CIM and no fees will be due or paid.  If you wish to become an approved Agency with CIM or any of its Affiliates, please contact a member of the CIM Talent Acquisition Team.