Latest Investment Compliance jobs in Santa Monica, CA

20 Investment Compliance Jobs in Santa Monica, CA

Operations Associate (Financial Services) Manhattan West - Los Angeles, CA, United States documents associated with potential investments and coordinate with our legal and compliance teams Update and maintain capital tables Assist with investor distributions Skills: Must have attention-to-detail 3 days ago
Accounting Manager (Mostly Remote) Robert Half - Los Angeles, CA, United States Perform weekly/monthly cash projections for rolling 15 months, including cash payments for investment hires, M&A and share repurchases. Prepare lender compliance calculations, certifications and related 2 days ago
Sr. Compliance Analyst - Broker Dealer Investment Advisory City National Bank - Los Angeles, California Overview: SR. COMPLIANCE ANALYST - BROKER DEALER INVESTMENT ADVISORY WHAT IS THE OPPORTUNITY?Colleague is responsible for assisting CNS Branch Manager with daily supervision of Broker Dealer 4 days ago
Chief Financial Officer ScreenFund - Los Angeles, CA, United States with strategic goals. Analyze financial performance and market trends to inform strategic decisions. Financial Operations: Oversee the preparation of financial statements, ensuring accuracy and compliance 5 days ago
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Financial Advisors Manhattan West - Los Angeles, CA, United States be in compliance with both company policies and regulatory obligations imposed as a registered investment advisor Skills : This role requires a highly motivated, driven and entrepreneurial personality Proven ability 25 days ago
Senior Asset Management Analyst AMH - Calabasas, CA for development or land purchases and red zones where no new investments are to be made. Conduct site visits to evaluate property management, property marketability and market positioning, program compliance 4 days ago
Senior Associate - Private Equity and Hedge Fund Accounting (Hybrid) IQ-EQ - Los Angeles, California services; compliance and operational related projects and reviews; and outsourced CFO/controller and administration services to private equity fund investments – portfolio companies, real estate assets 2 days ago
Regulatory Relations Consultant City National Bank - Los Angeles, California ). For Wealth Management Compliance roles, experience with a financial institution such as a broker/dealer and/or registered investment adviser. For Wealth Management Compliance roles, experience working within 5 days ago
Senior Compliance Officer Allspring Global Investments - Charlotte, NC / Los Angeles, CA / San Francisco, CA / 2 more... business. The successful candidate will have extensive experience administering compliance programs for registered investment advisers that provide retail and institutional investment advisory services (e.g 5 days ago
Citizens Private Wealth - Advanced Tax & Estate Planning Advisor Citizens - Los Angeles, United States Clarfeld’s team of CFAs, CPAs, attorneys and CFP®s provide full investment and wealth management services; comprehensive income tax and estate tax planning, structuring, compliance and governmental Competitive 7 days ago

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