Compliance Specialist

Chandler Asset Management • San Diego, CA, US • $70k - $85k / year • 3w ago

Description

Who are we?

We’re Chandler Asset Management, an employee-owned and independent financial services company; our concentration centers on managing taxable fixed income portfolios that are aligned with our institutional clients’ needs. We manage over $40 billion in assets and believe in the philosophy of creating value and managing risk with active management, using robust quantitative analysis and qualitative insights.

What do we value?

Great People with Great Values. Integrity, service, excellence, education and teamwork are the values that define the culture at Chandler Asset Management.

In addition to our core values, our culture is defined by 27 fundamental behaviors that describe our culture, set us apart and drive our success. From the beginning, we’ve always wanted to deliver total piece of mind through extraordinary performance. We believe our extraordinary performance and culture are driven by our dedicated and committed people.

What’s the job all about?

The Compliance Specialist is responsible for independently monitoring compliance, reviewing client investment policies, and managing coding in Bloomberg AIM. While they still support senior roles, they are expected to handle many tasks autonomously and highlight areas of concern proactively. Compliance Specialist are also responsible for supporting and leading key aspects of the firm's regulatory compliance program. This position is a hybrid role based out of our San Diego, CA office.

The essential functions of the role include, but are not limited to the following:

The essential functions include, but are not limited to the following:
Independently monitor compliance using tools like Bloomberg AIM. Analyze findings and highlight potential areas of concern.
Independently review existing policies. Suggest changes based on evolving regulatory conditions.
Handle coding processes with minimal supervision. Troubleshoot minor coding issues.
Conduct in-depth reviews, especially in areas previously highlighted as risks. - Document findings in detailed compliance reports.
Support compliance reviews of client statements; internal and external follow-up on deficiencies.
Independently assess potential risks. Highlight significant risks to senior staff.
Draft, review, and suggest policy amendments. Test the feasibility of new policies before implementation.
Prepare and submit filings. Ensure accuracy and timeliness in all regulatory activities.
Ensure all records are maintained as per guidelines. Review records periodically for accuracy.
Willingness to get advanced compliance certifications and/or FINRA supervisory registrations.

Requirements

This Team Member will have:

Education: Bachelor’s degree with added certifications in compliance preferred.
Industry Experience: 3-5 years with demonstrated growth.
Technical Proficiency: Expertise in Microsoft Office Suite and CRM applications required.
Familiarity with Bloomberg AIM and SQL is preferred.
Communication Skills: Exceptional written and verbal communication skills are essential.
Research & Update: Must stay regularly updated on industry norms and practices

What we can offer you!

Medical, Dental, Vision, HSA & FSA

Life & AD&D

Short-Term & Long-Term Disability

Accident & Critical Illness

Employee Assistance Program

Employee 401(k) Plan

ESOP

Employee Discounts

Paid Time Off

Paid Holidays

Fun Company Events

Ready to join our team?!

Please note before submitting an application: as a company, we take hiring very seriously. Although we are unable to follow-up with each and every applicant, we do our best to run a thorough process for candidates with whom we identify a potential fit. Chandler Asset Management provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, religion, color, sex, gender, sexual orientation, pregnancy, age, national origin, ancestry, physical/mental disability, medical condition, military/veteran status, genetic information, marital status, ethnicity, alienage or any other protected classification, in accordance with applicable federal, state, and local laws. Those

Related Jobs

Senior Environmental Compliance Manager

Dudek • Full-time • San Diego, CA • 3m ago

Legal

Who We Are Dudek is a leading environmental, planning, and engineering firm that help public and private clients plan, design, and build projects that improve communities’ built and natural infrastructure. Fo...

3m ago

Apply

Project Accountant I

Dudek • Full-time • San Diego, CA • 6h ago

Finance & Accounting

6h ago

Apply

Talent Acquisition Specialist

Dudek • Full-time • San Diego, CA • 6h ago

Human Resources (HR)

6h ago

Apply

Staff Accountant

Pegasus Clean • Full-time • San Diego, CA, US • $28 - $33 / hour • 18h ago

Finance & Accounting

Overview About Us Pegasus leads the way in comprehensive cleaning and maintenance solutions. We leverage cutting-edge technology to create and maintain clean, healthy, and safe indoor environments for commercial, i...

18h ago

Apply

Night Cleaner

Pegasus Clean • Full-time • Chula Vista, CA, US • 18h ago

Cleaning & Sanitation

18h ago

Apply

Operations Supervisor - CE

Pegasus Clean • Full-time • San Diego, CA, US • 18h ago

Management Supervisor

18h ago

Apply

Recruiter

Pegasus Clean • Full-time • San Diego, CA, US • 18h ago

Human Resources (HR)

Overview ONLY LOCAL CANDIDATES WILL BE CONSIDERED*** The Recruiter will focus on high-volume recruiting for frontline hourly non-exempt positions while supporting department initiatives to meet hiring goals. This...

18h ago

Apply

Rover

Pegasus Clean • Full-time • San Diego, CA, US • 18h ago

18h ago

Apply

Day Porter

Pegasus Clean • Full-time • Chula Vista, CA, US • 18h ago

18h ago

Apply

GMP Lab Parts Cleaner

Pegasus Clean • Full-time • San Diego, CA, US • 18h ago

Cleaning & Sanitation

18h ago

Apply