Senior Compliance Analyst

Although we value experience and skills, we also care about who you are. We strive to surround ourselves with good people that share our values, that work hard, and that support each other as a team and as individuals.

Job Description

Kayne Anderson Rudnick (KAR) is seeking a Senior Compliance Analyst who will be primarily responsible for supporting the Firm's Compliance team in a variety of areas, including Code of Ethics and personal trading administration, marketing material reviews, investment proposal review, new account onboarding review, policy and procedure testing and development, annual compliance review assistance, and other special projects.

The candidate will report to the firm's Chief Compliance Officer and this role will be based at the firm's headquarters in Los Angeles.

Primary Responsibilities

• Administer and facilitate certain key processes related to KAR's Code of Ethics, personal trading, gifts and entertainment, and other related policies and procedures.
• Conduct review of certain materials related to new client accounts for KAR's wealth advisory and investment groups for adequacy.
• Review select marketing materials and other communications, in coordination with other Compliance team personnel, for compliance with applicable regulatory requirements and adequacy as they relate to the firm's events, policies or operations.
• Supports the Compliance team in performance of periodic tests of procedures and/or transactions to monitor the efficiency of the compliance programs and assist in the preparation of annual compliance reports and other ad hoc reviews.
• Support the logistical requirements related to distribution of certain of KAR's required regulatory documents as part of mandatory annual updates of such documents.
• Liaise with various groups and individuals at all levels throughout the firm, including sales and marketing, KAR's wealth management team, as well as KAR's parent company, as needed.
• Undertake special compliance-related projects, as assigned, and collaborates with the other Compliance team members on routine and ad hoc projects.

Ideal Qualifications

• Bachelor's degree with 3-7 years of experience as a compliance professional supporting the compliance function for an investment adviser firm.
• Basic knowledge of the Investment Advisers Act of 1940.
• Team player with the ability to contribute to diverse and complex projects.
• Highly organized and comfortable managing a variety of tasks and projects simultaneously with strong attention to detail.
• Excellent verbal and written communications skills with a strong intellectual curiosity.
• Highly motivated, intelligent, hardworking, team player with proven excellence in prior endeavors.
• Must be proficient in MS Office (Outlook, Word, Excel, PowerPoint) and be able to develop proficiency other systems, as necessary.
• Familiarity with document management and approval tools, such as SEISMIC and Red Oak, is preferred.

The starting salary is $94,000.00 to $115,000.00

The starting salary offer will vary based on the applicant's education, experience, skills, abilities, geographic location, internal equity, and alignment with market data. This position is also eligible for an annual incentive plan.

Benefits:

We offer a variety of benefits that support employees and their families in maintaining all aspects of health and wellness. We pride ourselves on offerings that encourage work-life balance and support the needs and goals of the team.

• Competitive Pay
• Medical, Dental, and Vision Insurance
• Life and Disability Insurance
• Health Savings Account with a Company Match
• Flexible Spending Accounts including Dependent Care
• Wellness Program
• Tuition Reimbursement
• 24-Hour Employee Assistance Program
• Adoption Assistance
• Paid Family Care Time
• Paid Volunteer days
• Gym onsite
• Paid Parking -LA Office

KAR is made up of diverse, talented, and passionate employees working together to achieve a common and rewarding goal: providing high quality investment strategies and wealth solutions for our clients.

Awarded Best Firm Culture at the 2022 PAM Awards, KAR maintains a team-oriented culture of accessibility, open communication, and respect. We believe in empowering and growing our people and are excited to be hiring.

KAR is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status.

For additional information on Kayne Anderson Rudnick, please access the firm's web site at www.kayne.com