Compliance Analyst

Location: Woodland Hills, CA (On-site)Position OverviewWe 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.Key ResponsibilitiesManage recurring compliance monitoring, testing, and reporting activities, including weekly, monthly, quarterly, and annual requirementsSupport annual compliance reviews, mock audits, regulatory examinations, and other compliance assessmentsPrepare and coordinate required regulatory filings, including Forms U4, U5, ADV, 13F, 13H and other applicable filingsReview marketing and advertising materials for compliance with applicable regulatory requirementsConduct periodic testing and monitoring of personal trading, political contributions, gifts and entertainment, outside business activities, and other employee compliance mattersDraft, review, and update compliance manuals, the Code of Ethics, policies, procedures and other compliance documentationReview client accounts for suitability and alignment with each client risk tolerance and investment policy statementsMonitor books and records requirements and review employee disclosures, pre-clearance requests, and certifications for compliance with firm policies and regulatory standardsSupport compliance-related employee onboarding, training, and ongoing certificationsServe as a compliance resource across the firm and support regulatory developments, ongoing compliance initiatives, and ad hoc projectsQualificationsBachelor’s degree required; Master’s degree or J.D. a plus5+ years of relevant compliance and regulatory experience, preferably within an SEC-registered investment adviser or wealth management firmStrong knowledge of investment adviser regulations, compliance requirements, and industry best practicesExperience with compliance monitoring, testing, regulatory filings, and related compliance program activitiesHighly organized and detail-oriented with strong analytical, problem-solving, and follow-through skillsAbility to exercise sound judgment, work independently, and manage multiple priorities and competing deadlinesStrong written and verbal communication skills with the ability to work effectively across different areas and levels of the organizationProficient to advanced Microsoft Office skills; experience with ENVESTNET/Tamarac CRM and compliance platforms such as ComplySci preferredWhy Join SteelPeak?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.401(k) with company match.Equal Employment OpportunityWe are an equal opportunity employer and consider all qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, or any other protected status under applicable law.We provide reasonable accommodations in accordance with applicable law.As part of our hiring process, we may use technology, including artificial intelligence tools, to assist with tasks such as job description development and candidate evaluation. All final employment decisions are made by our team and comply with applicable equal employment opportunity laws.