A leading institutional alternative asset manager based in Newport Beach, CA looking for a "Compliance Associate". This firm is currently in a hybrid model (2 days in office).
Responsibilities: • Assist in all aspects of the administration of Rule 206(4)-7 compliance programs, as needed. • Administrative support of compliance daily operations and participating in compliance group projects and initiatives. • Support the periodic review and distribution of compliance policies and procedures. • Maintains professional and technical knowledge by researching regulatory changes. • Assist with FINRA WebCRD filings for the firm and its registered representatives. • Monitor social media.