Larson Maddox
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.
Base pay range $80,000.00/yr - $150,000.00/yr
Principal Recruitment Consultant at Larson Maddox 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.
Key Responsibilities
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 counterparties 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.
Qualifications
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.
Compensation and Benefits
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
Seniority level
Mid‑Senior level
Employment type
Full-time
Job function
Finance
Industries
Investment Management
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Base pay range $80,000.00/yr - $150,000.00/yr
Principal Recruitment Consultant at Larson Maddox 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.
Key Responsibilities
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 counterparties 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.
Qualifications
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.
Compensation and Benefits
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
Seniority level
Mid‑Senior level
Employment type
Full-time
Job function
Finance
Industries
Investment Management
#J-18808-Ljbffr