Get AI-powered advice on this job and more exclusive features. Sign in to access AI-powered advices Continue with Google Continue with Google Continue with Google Continue with Google Continue with Google Continue with Google Continue with Google Continue with Google Continue with Google Continue with Google Continue with Google Continue with Google Management Consulting Firm provided pay range This range is provided by Management Consulting Firm. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more. Base pay range $150,000.00/yr - $180,000.00/yr Additional compensation types Annual Bonus Direct message the job poster from Management Consulting Firm Associate Director – Compliance Consulting Firm Overview A prominent compliance consulting firm. The firm serves clients, including hedge funds, private equity, real estate managers, banks, and broker-dealers. Role Overview This hire will provide senior oversight of regulatory compliance matters for a diverse portfolio of clients, ensuring they meet SEC, CFTC/NFA, FINRA, and other regulatory requirements. This is a full-time, client-facing role with significant growth and revenue-sharing opportunities. Key Responsibilities Client Management: Act as the primary day-to-day compliance oversight resource for a portfolio of clients. Regulatory Expertise: Develop and implement policies and procedures, including compliance manuals, codes of ethics, and MNPI protocols. Mock Audits: Conduct regulatory mock examinations, including document reviews, onsite interviews, and report drafting. Training: Provide compliance training on marketing, personal trading, electronic communications surveillance, and best execution. Risk Management: Anticipate and address client regulatory risks, focusing on key priorities without compromising quality. Business Development: Support or lead sales cycles, including pitches, proposals, and follow-ons. Qualifications: 5+ years in compliance within hedge funds, private equity, consulting firms, or asset managers. Strong knowledge of SEC, CFTC/NFA, and FINRA regulations. Experience with FCA or other global regulators is a plus. #34632 Seniority level Seniority level Mid-Senior level Employment type Employment type Full-time Job function Job function Legal Industries Business Consulting and Services Get notified about new Compliance Consultant jobs in Los Angeles, CA . Hawthorne, CA $80,000 - $100,000 1 week ago Compliance Analyst - Regulatory Compliance Unit Los Angeles, CA $70,000 - $80,000 2 weeks ago Contracts Manager - Contracts, Compliance, Procurement Los Angeles, CA $80,000 - $87,000 1 month ago Los Angeles, CA $91,200.00 - $160,444.00 2 weeks ago Los Angeles Metropolitan Area $150,000.00 - $200,000.00 2 weeks ago Los Angeles, CA $121,600.00 - $258,552.00 3 weeks ago Los Angeles, CA $92,114.00 - $156,880.00 2 weeks ago City of Industry, CA $105,000.00 - $110,000.00 1 day ago Los Angeles, CA $100,000.00 - $120,000.00 1 month ago Los Angeles Metropolitan Area 19 hours ago Senior Compliance and Ethics Program Specialist Los Angeles, CA $92,114.00 - $156,880.00 2 weeks ago Lakewood, CA $119,980.00 - $186,974.00 3 months ago Los Angeles, CA $100,000.00 - $120,000.00 1 month ago Compliance - Senior Testing Officer, Trusts and Fiduciary Los Angeles, CA $90,000.00 - $135,000.00 2 weeks ago Lakewood, CA $130,266 - $210,877 3 months ago Commerce, CA $100,000 - $120,000 4 days ago Associate Product Counsel, Strategic Growth and Compliance Los Angeles, CA $210,000 - $312,000 2 weeks ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI. #J-18808-Ljbffr Management Consulting Firm
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