Compliance Analyst
Job Details
Experienced
Los Angeles, CA - Los Angeles, CA
Full Time
4 Year Degree
Description

The Compliance Analyst will assist the Compliance team with DoubleLine’s compliance program as it relates to the oversight and due diligence review of the duties and responsibilities of a registered investment advisor and registered investment companies.

 

 

Job Functions

 

  • Review advertising and related communications for investment adviser, open-end mutual funds, closed-end mutual funds and other products (UCITS, CITs, etc.)
    • Communications to be reviewed will include: requests for proposals, prospect presentation materials, websites and other marketing materials.
  • Working knowledge of regulatory requirements for advertising and related communications for investment adviser, open-end mutual funds, closed-end mutual funds, UCITS and CITs.
  • Assist in developing and updating compliance policies and procedures related to marketing and advertising.
  • Respond to internal advertising compliance-related inquiries.
  • Other compliance duties as assigned.

Qualifications
  • Bachelor’s degree, preferably in Business, Finance or Accounting.
  • 6-8 years of regulatory/corporate compliance experience at an SEC-registered investment advisor.
  • Direct experience reviewing advertising materials for an SEC-registered investment advisor.
  • Working knowledge of applicable SEC rules for a registered investment advisor and registered investment companies.
  • Experience with regulatory requirements for private funds.
  • Working knowledge of FINRA marketing rules is beneficial, but no required.
  • Ability to implement and monitor regulatory compliance systems, especially systems related to marketing materials.
  • Fixed income investment advisory compliance experience.
  • Investment Company Act experience.
  • Ability to interact professionally at all levels of a tightly-integrated corporate team, including portfolio managers and traders.
  • Writing and quantitative skills sufficient to prepare a wide variety of reports for clients, industry consultants and internal users
  • Self-starter and able to function independently.
  • Well organized problem-solver able to manage multiple priorities and deadlines.
  • Strong attention to detail.

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