Compliance Associate

Our client is seeking a Compliance Associate to join its compliance team in Los Angeles, CA. This role offers the opportunity to support and enhance a strong regulatory compliance program within a highly respected organization managing billions in U.S. assets.

Key Responsibilities:
As a Compliance Associate, you will be immersed in the day-to-day operations of a dynamic compliance team within a prominent real estate investment advisory firm. Your role will involve administering key elements of the Code of Ethics, supporting marketing material reviews, managing relationships with third-party vendors, preparing regulatory filings, conducting research projects, developing training resources, maintaining organized records through advanced technology platforms, monitoring regulatory changes, and contributing to special projects, including ESG initiatives. Success in this position requires you to build strong relationships across departments—especially with those responsible for producing marketing materials—to align business goals with regulatory obligations. You will be expected to demonstrate meticulous attention to detail while efficiently handling multiple tasks simultaneously. Your ability to communicate clearly, collaborate effectively with colleagues at all levels, and proactively recommend process improvements will be essential as you help uphold the highest standards of compliance throughout the organization.

• Administer the Code of Ethics by managing personal securities transactions reporting, preapproval requests, restricted lists, and maintaining conflicts and disclosures logs with precision.
• Assist in reviewing and approving marketing and branding materials to ensure they meet all applicable regulations as well as internal policies.
• Help manage third-party compliance vendors, including Managed Service Providers and technology solutions, implementing new systems as required for optimal efficiency.
• Support annual reviews and mock examinations of the compliance program while performing ad hoc focused tests to monitor adherence to established policies.
• Prepare regulatory filings accurately and on time, ensuring all documentation meets legal requirements.
• Conduct research and data gathering for various issues or projects as needed, providing valuable insights for decision-making.
• Develop training materials for recurring reminders and topical updates, helping colleagues stay informed about compliance obligations.
• Contribute to the review and development of both existing and new compliance procedures, recommending enhancements where appropriate.
• Maintain organized compliance files using technology solutions to enhance data management and accessibility.
• Stay abreast of regulatory developments, including changes in laws, regulations, and industry best practices; implement relevant updates for the firm.

Key Requirements:
Your proven experience as a Compliance Associate or similar role within an SEC-registered investment adviser equips you with the technical expertise needed for this position. You bring not only strong academic credentials but also hands-on familiarity with complex regulatory frameworks governing investment advisers—particularly those involved in real estate or alternative assets. Your proficiency with office software tools enables you to produce accurate documentation efficiently while leveraging technology platforms for enhanced data management. You possess excellent interpersonal skills that allow you to communicate effectively across departments; your collaborative approach fosters trust among colleagues while supporting shared objectives. Your keen attention to detail ensures accuracy in every aspect of your work—from reviewing marketing materials to maintaining conflict logs—and your organizational abilities help you juggle multiple responsibilities without compromising quality. A genuine interest in continuous learning keeps you up-to-date on evolving regulations so that you can recommend timely improvements. Above all else, your commitment to ethical standards aligns perfectly with the values upheld by this respected firm.
Bachelor’s degree or higher is required; ideally in business administration, finance, law or related field.

• 2-3 years of related work experience at an SEC-registered investment adviser is preferred; experience with real estate or alternative asset investment strategies is highly desirable.
• Familiarity with the Investment Advisers Act of 1940 as well as Rule 206(4)-1 and related guidance is advantageous.
• Proficiency in Microsoft Excel, Word, PowerPoint is essential; experience with Microsoft Teams or compliance management systems such as ComplySci, Red Oak or Global Relay would be beneficial.
• Exceptional written and verbal communication skills are necessary for drafting clear reports and collaborating across teams.
• Outstanding organizational skills combined with high attention to detail enable you to manage multiple priorities effectively.
• Demonstrated ability to thrive both independently when given guidance and collaboratively within a team setting is important.
• Interest in pursuing further career advancement within compliance at a growing firm shows your commitment to professional development.
• Ability to develop training materials that engage colleagues while reinforcing key compliance concepts is valued.
• Capacity for staying current on regulatory developments ensures you can implement best practices promptly.

What sets this company apart:

• This organization stands out as one of the nation’s most respected real estate finance and investment management firms.

What's Next:
If interested in this position, please get in touch with Daniela Garcia at Daniela.Garcia@robertwalters.com