Compliance Officer, Finance & Banking
Job in
Los Angeles, Los Angeles County, California, 90079, USA
Listed on 2026-03-13
Listing for:
Korn Ferry
Full Time
position Listed on 2026-03-13
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Services -
Business
Regulatory Compliance Specialist
Job Description & How to Apply Below
Korn Ferry is partnered with a leading global investment management firm in Los Angeles in their search for a Compliance Officer.
POSITION OVERVIEWThe Compliance Officer will ensure adherence to regulatory and internal requirements, support client onboarding, conduct compliance reviews, and provide guidance on policy matters to support the team.
RESPONSIBILITIES- Set up and onboard new client accounts
- Interpret and implement guidelines, including building rules in the Compliance System and work with IT to build customs rules
- Conduct routine and special reviews to address compliance or policy violations
- Provide guidance to staff and clients on compliance questions
- Support additional departmental projects as needed
- Bachelor’s degree in business administration, finance or related field
- 3+ years of experience in investment or investment management compliance
- Skilled in interpreting compliance documents (Guidelines, IMAs, Prospectus/SAI)
- Proficient in Excel, Word, and data analysis
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