Thursday, February 25, 2016

Compliance Specialist, Affinity Inv Adv – Irvine, CA

Compliance Specialist, Affinity Investment Advisors – Irvine, CA

Affinity Investment Advisors, LLC, is an independent, registered investment advisor headquartered in Irvine, CA with offices in Connecticut and Pennsylvania.   Affinity has been managing active equity portfolios for institutional and private clients since 1992.  We are a client‐centric firm where integrity, transparency, and accountability are integral to the culture of partnership that guides our internal and external interactions.  

To support the continued growth of the firm, Affinity is looking for a Compliance Specialist to work out of their headquarters in Irvine, CA. The primary responsibility of this role is to ensure a strong compliance environment is maintained at the firm with an eye towards becoming the CCO.  The Compliance Specialist will be responsible for oversight of the firm’s compliance calendar that entail tasks such as vendor due diligence, monitoring trading restrictions, etc. S/he will interact with portfolio managers, traders, and operations daily to ensure compliance with SEC mandates for RIA’s and the firm’s policies and procedures.  The Compliance Specialist will prepare reports as necessary for daily, monthly, quarterly, and annual client and/or ad‐hoc auditing requirements. The ideal candidate must possess excellent analytical, ethical, and judgment skills and be results‐oriented while working in a fast‐paced, team environment.  You will be fully engaged and busy from the first day and we guarantee there will never be a dull moment.

Primary Accountabilities:
  •  Conduct day to day operation of the firm’s compliance program and identify potential conflicts
  •  Ensure proper daily, monthly, quarterly and annual reporting to clients and custodians
  •  Carry out periodic testing to assess compliance and operational risks, develop and manage
  • associated controls to ensure compliance with the firms’ written supervisory procedures and
  • compliance manual including the Code of Ethics
  •  Coordinate/collaborate with other business units such as portfolio management, trading,
  • operations, human resources, communications, and information technology on regulatory
  • compliance matters
  •  Receive, investigate and respond promptly and effectively to compliance‐related queries
  •  Maintain Business Continuity/ Disaster Recovery Plans to ensure they are accurate and relevant
  •  Periodically review and update the firm’s Code of Ethics program as it pertains to SEC fraud
  • prevention in conjunction with Human Resources to ensure continuing applicability and
  • relevance in providing guidance to management and employees
  •  Other duties as assigned by Executive Management relevant to compliance oversight
  •  Min 5 years of experience in compliance, legal or similar work experience in the financial
  • services industry
  •  Working knowledge of the SEC’s mandates for registered investment advisors
  •  Bachelor’s Degree required 
  •  Previous experience in  trading/portfolio administration a plus
  •  Experience in a professional environment desired
  • The successful candidate will have a proven track record of demonstrating the following competencies
  • critical to this role (i.e. Desired Qualities):
  •  High integrity, ethics, and strong values
  •  Able to succeed in a deadline‐driven role
  •  Adept to analyze and make effective, compliance‐centric recommendations to business leads
  • and executive management 
  •  Strong presentation and written communication skills 
  •  Excels in an entrepreneurial, dynamic environment
Salary and Benefits
Salary will be based on skills and experience.   We offer attractive, competitive compensation and benefits based on industry standards including medical, paid vacation, 401(k) and potential for bonus participation.  
Qualified and interested candidate should send a resume and cover letter in either Word or PDF format to No phone calls please.

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