Compliance Analyst​/Associate

This range is provided by Larson Maddox. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

$80,000.00/yr - $/yr

Compliance Analyst or Associate - Private Investment Firm (On-Site in Santa Monica, CA)

A leading private investment firm is seeking a Compliance Analyst or Associate to join its legal and compliance team. This full-time, on-site role is based in Santa Monica, California, and reports directly to the Chief Compliance Officer. The position offers a dynamic opportunity to contribute to a global organization with over $90 billion in assets under management. The firm operates across private equity, credit, and related strategies, with a sector-focused approach targeting technology, industrials, and consumer businesses.

With a strong track record of operational transformation and long-term strategic partnerships, the firm maintains offices across North America, Europe, the Middle East, and Asia.

• Support regulatory filings including SEC Forms ADV and PF, and manage regional licensing and registrations.
• Monitor employee trading and related activities for compliance with internal policies.
• Participate in internal and external audits and reviews of the compliance program.
• Conduct due diligence on investors and counter parties as part of KYC and AML processes.
• Draft corporate governance documents including resolutions and authorities.
• Maintain records of entities and updates to directors and officers.
• Collaborate with outside counsel to track key terms across transactions, financing, and employment arrangements.
• Assist with the review and execution of non-disclosure agreements.
• Contribute to the development and refinement of compliance policies, procedures, and the Code of Ethics.
• Design and deliver compliance training programs.
• Work closely with the legal team to enhance monitoring list processes and stay current on regulatory developments.
• Provide legal support to portfolio companies as needed.

• Bachelor's degree with strong academic credentials.
• 2-5 years of experience in private equity, investment management, banking, broker‑dealer, or financial services.
• Exceptional written, verbal, and presentation skills.
• Highly organized, detail-oriented, and analytical.
• Demonstrated integrity and high ethical standards.
• Ability to work independently and collaboratively in a fast-paced environment.
• Proficiency in Microsoft Office (Excel, Word, PowerPoint, Outlook).
• Eagerness to adopt technology to support business goals.

• Analyst level: $80,000‑$120,000 base salary
• Associate level: $120,000‑$150,000 base salary
• Performance-based incentives
• Comprehensive medical, dental, and vision coverage
• Employee Assistance Program
• Generous paid time off and holiday pay
• 401(k) retirement plan

Additional perks including daily lunch and snacks, parking benefits, discounts, and professional development opportunities

• Mid‑Senior level

• Full-time

• Finance

• Investment Management