Compliance Analyst, Rimrock Capital Management - Irvine, CA
Job Title: Compliance Analyst (Investment Management)
Location: Irvine, CA
Job Type: Full Time, Experienced
Founded in 1999, Rimrock Capital Management, LLC is a SEC-registered investment adviser focused on multi-sector, hedged fixed income strategies. The Firm has over $3.8 billion in assets under management and a team of over 45 employees, including 24 investment professionals.
The Compliance Analyst will support Rimrock’s investment adviser compliance programs. The
Compliance Analyst will have diverse assignments, assisting in the oversight of all aspects of an
investment advisory compliance program for a SEC-registered investment adviser and NFA-registered commodity pool operator and commodity trading adviser. The Compliance Analyst will assist in the design, day-to-day implementation, testing, and execution of a compliance program which adheres to Rule 206(4)-7 of the Investment Advisors Act of 1940. The Compliance Analyst will manage or assist in other legal and/or compliance initiatives as needed. The Firm’s compliance program covers onshore and offshore private funds and institutional separately managed accounts.
•3+ years’ experience in investment management compliance
•Familiarity with fixed income securities, loans, commodity interests and derivatives
•Excellent verbal and written communication skills
•Excellent analytical, quantitative and problem solving skills
•Must be detail oriented and organized, able to handle multiple, competing projects
•Team player, but able to work independently and with colleagues at all levels
•Four year college degree with a solid academic background
•Previous regulatory experience a plus
•Paralegal certification/experience is a plus
•Strong Microsoft Word and Excel skills; Powerpoint experience would be a plus
•Ability to learn new systems as trained
Resumes can be sent to firstname.lastname@example.org
Rimrock is an equal opportunity employer. It is the policy of Rimrock Capital Management,
LLC not to discriminate against any employee or any applicant for employment because of age,
race, religion, color, handicap, sex, disability, sexual orientation, past or present military service,
or national origin.