Compliance - Senior Associate

Compliance · Los Angeles, California
Department Compliance
Employment Type Full-Time
Minimum Experience Experienced

About the Opportunity:

Hotchkis & Wiley is seeking a Senior Associate to join our Compliance Department. This position will report directly to the Chief Compliance Officer.  

 

The responsibilities of the Compliance Department include: reviewing and implementing policies, procedures and practices to ensure compliance with laws and regulations; staying abreast of changes to federal and state investment advisory and securities laws and regulations; working with other departments to ensure adherence to laws and regulations.  The Compliance Department also performs periodic testing and monitoring of the firm's business activities as part of the firm's compliance program.  This position requires strong investment management industry knowledge and accounting/auditing skills.  The Senior Associate will be exposed to all investment strategies and responsibilities of the Compliance Department.


More about the job:

  • Perform trade reviews to determine compliance with client account guidelines and regulatory requirements using Charles River Investment Management and Bloomberg Trading Systems
  • Identify and resolve issues with guideline interpretation
  • Pre-clear and monitor employee trading activities through the SchwabCT system
  • Develop procedures and controls to enhance the firm’s existing control environment, including use of technology to monitor investment activities and regulatory requirements
  • Interpret and communicate internal policies and procedures and regulatory requirements to portfolio management, trading, operations, marketing/client service and other departments, as necessary
  • Problem-solve, research, and analyze information on compliance matters impacting business activities
  • Perform compliance monitoring of the firm's business activities
  • Complete compliance reporting and questionnaires

About you:

  • Bachelor’s degree (accounting major or emphasis preferred)
  • 7-10 years of experience in investment management compliance. An auditing/accounting background/skill set would be desirable
  • Strong working knowledge of Charles River Investment Management and/or Bloomberg trading systems is required
  • Outstanding initiative, self-starter, strong work ethic and integrity
  • Attention to detail with strong problem solving, analytical and organizational skills
  • Proven ability to successfully work both independently and in a team, and interact effectively at all levels
  • Excellent written and verbal communication skills are essential
  • Strong proficiency in software applications, especially Microsoft Excel

 

About Hotchkis & Wiley:

Hotchkis & Wiley is an institutional asset management firm overseeing U.S. and global value equity and high yield portfolios for clients worldwide.  The firm currently manages approximately $30 billion in assets and is majority owned by its management and employees.  For more information please refer to our website, www.hwcm.com

 

 

Hotchkis & Wiley is an Equal Opportunity employer (EEO) and all employees and applicants will be entitled to equal employment opportunities when employment decisions are made.  Hotchkis & Wiley will take affirmative action to recruit, hire, train, and promote individuals in all job classifications without regard to race, religion, color, age, sex, national origin, pregnancy, veteran status, sexual orientation, physical or mental disability, gender identity, or membership in an historically under-represented group.

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  • Location
    Los Angeles, California
  • Department
    Compliance
  • Employment Type
    Full-Time
  • Minimum Experience
    Experienced