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Senior Compliance Administrator

Kayne Anderson Rudnick Los Angeles, CA
  • Posted: over a month ago
  • Full-Time
  • Benefits: Vision, Medical, Life Insurance, 401k, Dental

KAR is seeking to hire a Senior Compliance Administrator to serve as a generalist in the Compliance Department supporting the various compliance responsibilities and obligations of KAR’s institutional and wealth advisory businesses. This is an exciting opportunity to be involved in a small team environment with diversity of exposure to the multiple facets of a growing and dynamic investment manager. This person will be primarily responsible for a variety of important responsibilities, including providing compliance support and assistance to the Chief Compliance Officer in furtherance of the monitoring and testing programs that support the overall compliance program, overseeing the operation of the Firm’s 13G, 13F, and foreign filing obligations, monitoring wealth advisory trading activity and client account objectives and restrictions, completing required regulatory filings to ensure that the firm is in compliance with various global regulatory requirements, monitoring compliance with the firm’s Code of Ethics, and reviewing fund and client account activity to detect potential compliance problems. PRIMARY DUTIES AND RESPONSIBLITIES • Conducts investigations, reviews, and maintains records in support of the firm’s routine and annual compliance reviews. Prepares written reports of review findings and conducts follow-up to ensure any noted deficiencies have been corrected • Independently prepares and files Forms 13F, 13g, and other foreign shareholder filings, interfacing with outside counsel, as necessary • Independently monitors on a daily basis and proactively reviews the firm’s holdings for potential foreign shareholder filings that may be required in addition to any 13g filings to minimize risk and monetary exposure to the Firm. • Independently reviews and identifies risk tolerance differences for the Firm’s wealth advisory client accounts, and discusses any findings with wealth advisor reps. • Interprets, provides advice on, administers and monitors the firm’s Code of Ethics for personal trading. Provides on-going training to the company’s staff on Code of Ethics and manages the electronic system utilized for Code of Ethics reporting • Identifies potential violations of rules, policies and procedures through thorough knowledge and understanding of regulations and the firm’s compliance program • Maintains, establishes and identifies potential violations of client objectives/restrictions in the trading system • Researches issues and questions that arise from the various business units to provide compliant and reliable advice and direction to senior management and employees on compliance issues, consulting with the Chief Compliance Officer and the Director of Compliance where needed • Maintains an understanding of applicable SEC rules and regulations governing the firm’s business through ongoing available education opportunities that are made available • Reviews and approves various marketing materials and client proposals • Assists with mutual fund sub-advisory reporting requirements • Provides assistance to the Chief Compliance Officer in responding to requests from external and internal auditors as well as regulatory inquiries and examinations • Reviews and analyzes trading exception reports to identify and respond to trends or patterns • Ad hoc projects assigned by the Chief Compliance Officer that may involve reporting findings and observations to the Firm’s Senior Management as well as the firm’s parent company. QUALIFICATIONS: • Bachelor’s degree and at least five to seven years of compliance experience with an investment management and/or wealth advisory firm. An accounting or audit background is helpful but not required. • Regulatory experience is also a plus, but is not required • Practical working knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940. • Strong attention to detail, intuitive, energetic and self-motivated with an intellectual curiosity • Ability to identify and analyze complex global regulatory issues and their effect on the Firm’s institutional investment management and wealth advisory businesses • Demonstrated ability to maintain confidentiality of sensitive information • Excellent communication skills (verbal and written), analytical skills, interpersonal skills, and research skills • Ability to work independently as well as to collaborate with other compliance team members and departments on various projects and initiatives • Ability to work to meet multiple, competing deadlines in a fast-paced but collegial and respectful work environment • Demonstrated ability to work effectively with a wide variety of individuals throughout the organization and its parent company, including senior management and investment professionals with a positive solutions-based approach

Kayne Anderson Rudnick

Ranked among the Top 10 of Barron’s list of Top Independent Financial Advisors for the last three years, and #10 on Investment News' Largest Fee-Only RIAs (Registered Investment Advisers), Kayne Anderson Rudnick is a boutique investment advisory firm founded in 1984 to manage capital for its founders, including John Anderson (member of the Forbes 400 and benefactor of UCLA's Anderson School of Management). With offices in Los Angeles and San Francisco, KAR has over $29 Billion in assets under management, focused on institutional, broker-dealer, and high-net-worth clients


1800 Avenue of the Stars, 2nd Floor Los Angeles, CA 90067
Los Angeles, CA

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