Compliance Associate or Senior Associate bei Hotchkis & Wiley

Hotchkis & Wiley is seeking an Associate or Senior Associate to join our Compliance Department reporting directly to the Chief Compliance Officer.  The position is located in Los Angeles and offers a hybrid of in-office and work from home flexibility.  

The Compliance Department plays a critical role in ensuring the firm adheres to applicable laws, regulations, and internal policies. This team is responsible for developing, implementing, and maintaining compliance frameworks, staying current with regulatory developments, and collaborating across departments to promote a culture of compliance. The Associate or Senior Associate will gain exposure to all investment strategies and contribute to the ongoing enhancement of the firm’s compliance program through testing, monitoring, and advisory support.

Key Responsibilities

• Conduct daily trade reviews to ensure adherence to client account guidelines and regulatory requirements using Charles River Investment Management and Bloomberg Trading Systems.
• Interpret investment guidelines and resolve issues related to compliance interpretation.
• Pre-clear and monitor employee personal trading activities via the MyComplianceOffice system.
• Design and implement procedures and controls to strengthen the firm’s compliance infrastructure, leveraging technology where appropriate.
• Communicate regulatory requirements and internal policies to portfolio management, trading, operations, marketing/client service, and other departments.
• Research and analyze compliance-related issues affecting business operations.
• Perform monitoring and testing of business activities as part of the firm’s compliance program.
• Prepare and submit compliance reports, questionnaires, and other regulatory documentation.

Qualifications

• Bachelor’s degree required; accounting major or emphasis strongly preferred.
• For Associate, minimum of 3 years of experience in investment management compliance; auditing or accounting background is highly desirable.  Senior Associate candidates must have a minimum of 10 years of experience, including demonstrated supervisory responsibilities.
• Familiarity with Charles River Investment Management and/or Bloomberg trading systems is strongly preferred.
• Demonstrated initiative, integrity, and a strong work ethic.
• Exceptional attention to detail, analytical thinking, and organizational skills.
• Proven ability to work independently and collaboratively across teams.
• Excellent written and verbal communication skills.
• Strong proficiency in Microsoft Excel and other relevant software applications.

The expected base salary range for an Associate position is generally between $90,000 to $125,000 per year.  For Senior Associate, the expected base salary range is generally between $125,000 to $160,000 per year. 

This position is eligible for a discretionary bonus as part of a total compensation package which also includes our company sponsored benefit programs.  Base salary is determined on an individualized basis and may vary based on factors including but not limited to education, training, experience, and market factors.

About Hotchkis & Wiley:

Hotchkis & Wiley is an institutional asset management firm overseeing U.S. and global value equity and high yield portfolios for clients worldwide.  For more information please refer to our website, www.hwcm.com

Hotchkis & Wiley is an Equal Opportunity employer (EEO) and all employees and applicants will be entitled to equal employment opportunities when employment decisions are made.  Hotchkis & Wiley will take affirmative action to recruit, hire, train, and promote individuals in all job classifications without regard to race, religion, color, age, sex, national origin, pregnancy, veteran status, sexual orientation, physical or mental disability, gender identity, or membership in an historically under-represented group.