Skip Navigation

Compliance Associate

  • California
  • Full Time

Apply for the Compliance Associate position

"*" indicates required fields

Max. file size: 10 MB.
Drop files, or upload here
Madison-Davis is committed to protecting and respecting your privacy, and we will only use your personal information to contact you regarding the services you requested from us. Your contact information will not be shared or sold to third parties for marketing purposes. We would like to contact you about our products and services, as well as other content that may be of interest to you; messaging frequency will vary based on hiring needs and opportunities. If you consent to us contacting you for this purpose, please check the box below.
I agree to receive communications from Madison-Davis
You may unsubscribe from these communications at any time by replying STOP. You may also text HELP for more information. Mobile messaging and data rates may apply.
This field is for validation purposes and should be left unchanged.

Institutional alternative asset manager based in Newport Beach, CA looking for a “Compliance Associate”. This firm is currently in a hybrid model (2 days in office).

• Assist in all aspects of the administration of Rule 206(4)-7 compliance programs, as needed.
• Administrative support of compliance daily operations and participating in compliance group projects and initiatives.
• Support the periodic review and distribution of compliance policies and procedures.
• Maintains professional and technical knowledge by researching regulatory changes.
• Assist with FINRA WebCRD filings for the firm and its registered representatives.
• Monitor social media.