Hiring: Compliance Analyst Company: SteelPeak Wealth Location: Los Angeles, CA Job Posted Time: 2026-09-11 14:35:25 Employment Type: On-site Target Skills & Keywords : Microsoft Office, Wealth Management About the job Experience: •5+ years of relevant compliance and regulatory experience, preferably within an SEC-registered investment adviser or wealth management firm Required Skills: •We are seeking an experienced Compliance Analyst to support SteelPeak’s compliance program and help ensure the firm meets its regulatory obligations. This role will manage key compliance activities, including monitoring and testing, regulatory filings, policy and procedure updates, and ongoing compliance initiatives. •The ideal candidate brings strong RIA compliance experience, sound judgment, and the ability to manage multiple priorities while working collaboratively across the organization. •Manage recurring compliance monitoring, testing, and reporting activities, including weekly, monthly, quarterly, and annual requirements •Support annual compliance reviews, mock audits, regulatory examinations, and other compliance assessments •Prepare and coordinate required regulatory filings, including Forms U4, U5, ADV, 13F, 13H and other applicable filings •Review marketing and advertising materials for compliance with applicable regulatory requirements •Conduct periodic testing and monitoring of personal trading, political contributions, gifts and entertainment, outside business activities, and other employee compliance matters •Draft, review, and update compliance manuals, the Code of Ethics, policies, procedures and other compliance documentation Qualifications: •Bachelor’s degree required; Master’s degree or J.D. a plus •Strong knowledge of investment adviser regulations, compliance requirements, and industry best practices •Highly organized and detail-oriented with strong analytical, problem-solving, and follow-through skills •Demonstrated capacity to exercise sound judgment, work independently, and manage multiple priorities and competing deadlines •Strong written and verbal communication skills with the ability to work effectively across different areas and levels of the organization •Proficient to advanced Microsoft Office skills; experience with ENVESTNET/Tamarac CRM and compliance platforms such as ComplySci preferred •Join a growing firm where your contributions are visible and valued. •Collaborative office environment with exposure to a broad range of compliance matters and business areas. •Comprehensive benefits package including medical, dental, and vision insurance. Compensation: •$90,000 - $120,000 / year Interested candidates, please apply directly through the job posting on company's career page or try via AI auto apply on this platform. Don't miss this opportunity to join a forward-thinking team!