BCI - Brokerage Consultants Ltd.

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Job Type:

Compliance Director (982-165)

Los Angeles, CA

LA-based boutique investment firm is seeking a Compliance Director to
support and advance the overall compliance program for the firm including
overall design, implementation and ongoing protocols in place to address the
compliance requirements for the business and activities. This person will
ensure continual process enhancement consistent with changes in the business
and regulations. They will also assist and advance in the design,
implementation and monitoring of protocols/systems used to address
compliance with portfolios’ guidelines/limits

Responsible for the compliance oversight of firm’s institutional business;
including the oversight of the equity, wrap, and fixed income trading desks.
Working closely with Traders and Portfolio Managers
Responsible for the approval and review of new institutional accounts,
including the review of investment policy states, new account paperwork, and
in conjunction with the legal department, the review of tailored contracts
Participate in the view of firm Institutional Marketing campaigns – this
includes presentations, marketing commentaries, RFP responses, websites and
similar ad hoc marketing pieces and approving the firm’s marketing materials
to ascertain they are in compliance with GIPS and all federal regulatory
requirements within established guidelines
Participate with CCO in ensuring the Adviser and the Funds are in compliance
with all applicable federal and state laws and regulations (i.e. SEC, ERISA,
FINRA and various states)
Review and analyze trading reports to perform best execution testing and
identify trends or patterns and report results to the Best Execution
Responsible for the review and analysis of attribution reports pertaining to
firms model strategies, and report results to the Risk and Investment
Responsible for guideline monitoring and trading surveillance for the firm
as mandated by the applicable investment management agreements, applicable
prospectus, statement of additional information, internal limits and
applicable regulations
Responsible for, on a continuing basis that investment guidelines are
properly coded in the compliance monitoring systems (Longview, Charles
River, Bloomberg) and other manual calculations as required for existing
portfolios. On board new portfolios to ensure the same
Monitor prospectus and other changes to guidelines and adjusts portfolio
guidelines to ensure all rules are properly coded within the appropriate
Review of 3rd party due diligence reports
Responsible for the approval of override of restrictions in the trade order
management systems
Assist in the development and/or revising procedures designed to ensure
compliance with the Investment Advisers and Investment Company Acts
Assist the CCO with on-site due diligence meetings, quarterly and annual
reports and certifications from our institutional clients
Responsible for the vendor management process, as it relates to the
institutional business
Back up CCO with aspects of the compliance department
Participate in various company committees
Resolve complex problems using a combination of technical and business
experience in written and verbal form
Participate in and contribute to compliance projects, as necessary

Master’s degree and/or 8+ years of compliance experience or an equivalent
combination of education experience
5+ years’ experience as a compliance officer with an investment adviser
specializing the institutional and fund market place
Position may require completion of certified compliance professional
Must be skilled in identifying problems/making decisions (e.g.
prioritization of tasks; interpretation of rules and policies) with in-depth
knowledge of regulations and interpretations under the Investment Adviser
Act of 1940 and Investment Company Act of 1940
Broad knowledge of securities law including ERISA, FINRA and State
Knowledge of portfolio compliance, trading, marketing and back-office
Excellent communication (verbal and written), analytical, interpersonal and
presentation skills and diplomacy
Detail-oriented with the ability to establish priorities, work
independently, handle interruption and proceed with objectives without
Ability to work with all levels of management
Good judgment with the ability to make timely and sound decisions, not only
from a compliance perspective but also from a business perspective
Highly motivated (self-starter) with a team player and collaborative
approach to work
Versatility, flexibility, and a willingness to work within constantly
changing priorities with enthusiasm

Compliance and Legal