Compliance Officer

Los Angeles Capital, the “Firm”, is a global equity manager of assets for leading institutions around the world. The Firm is recognized as a pioneer in dynamic equity management, utilizing proprietary technology to engineer equity portfolios that adapt to today’s equity market. The Firm’s senior investment professionals have worked together for three decades developing models for measuring and forecasting return and risk of global equity securities. The Firm manages approximately $40.1 billion as of December 31, 2025, across a wide variety of public equity strategies designed to meet institutional client return and risk objectives. The Firm has been ranked for seven years in a row by Pensions and Investments as one of the “Best Places to Work in Money Management.” The Firm’s working environment places a strong focus on teamwork and values work-life balance. The Firm offers a competitive compensation package that includes health care plans, 401(k), and top-tier benefits. The Firm is 100% employee-owned through a holding company structure and seeks to retain and motivate employees’ long term. Los Angeles Capital firmly believes the quality and commitment of the individuals are vital to the success of the Firm, ensuring that client expectations are exceeded.

Position Overview

Reporting to the Chief Compliance Officer, the Compliance Officer will come with 7-10 years of experience at an investment adviser, regulator, or compliance consultant. This role is ideal for a self-starter who can own problems end-to-end, exercise sound judgment, and communicate clearly with stakeholders at all levels. This person will be a key contributor to our compliance program—co-leading marketing material reviews and vendor management, and leading employee compliance (StarCompliance) administration and training—while working with the rest of the Compliance team to support risk assessments, conduct testing & monitoring, complete regulatory filings, and ensure exam readiness. Los Angeles Capital is an SEC-registered investment adviser.

Key Job Responsibilities:

Program Ownership & Advisory

• Serve as a day-to-day compliance advisor to investment, marketing, and operations teams on requirements under the Investment Advisers Act of 1940 and related SEC rules (e.g., Marketing Rule 206(4)-1, Compliance Rule 206(4)-7, Code of Ethics Rule 204A‑1, Books & Records Rule 204‑2, Pay-to-Play Rule 206(4)-5, as applicable to our business model).
• Contribute to the annual compliance risk assessment; design and execute testing & monitoring plans; track and remediate findings; report results to management as appropriate.
• Draft, maintain, and socialize policies & procedures; keep a current and auditable control environment.

Marketing & Communications Compliance

• Co-Lead compliance reviews of marketing and client communications (presentations, fact sheets, pitchbooks, RFPs/DDQs, website, social media, press/PR, emails, newsletters, whitepapers).
• Partner with Investment Communications and Marketing team on content governance, version control, review workflows, and substantiation files.

Vendor Oversight

• Partner with the Information Security team on vendor governance, review workflows, and documentation.

Employee Compliance & StarCompliance Administration

• Administer StarCompliance (or similar system) for personal trading, pre-clearance, broker feeds, attestations, certifications, outside business activities, gifts/entertainment, political contributions, MNPI/watch/restricted lists.
• Maintain accurate data integrations and exception workflows; monitor alerts and investigate/resolve issues.
• Produce periodic reporting and KPI metrics for leadership.

Training & Culture

• Design and deliver annual and ad-hoc compliance training on such items as Marketing Rule, Code of Ethics, insider trading, conflicts, gifts/entertainment, pay-to-play, and recordkeeping.
• Create short, written practical guidance and coach teams internally to incorporate compliance into day-to-day processes.

Regulatory Filings, Exams & Governance

• Support timely and accurate regulatory filings and other required submissions.
• Prepare for and assist with SEC examinations and inquiries; coordinate document productions; maintain exam-ready evidence and logs.

Required Skills:

• 7-10 years of compliance experience at an RIA, regulator (e.g., SEC/State), or compliance consultancy.
• Strong working knowledge of the Advisers Act and key SEC rules, especially Marketing Rule 206(4)-1, Code of Ethics 204A‑1, Books & Records 204‑2, Compliance Rule 206(4)-7; familiarity with Pay-to-Play 206(4)-5.
• Demonstrated experience reviewing marketing materials and partnering with marketing and investment teams.
• Hands-on experience with StarCompliance (or similar employee compliance platform) including administration, data feeds, and workflow design.
• Proven self-starter with the ability to independently scope problems, propose pragmatic solutions, and drive them to completion.
• Excellent communication (clear writing, crisp verbal updates, concise presentation materials) and the ability to interpret and translate regulations into business-friendly guidance.
• Strong organization and project management skills; comfort juggling multiple priorities with overlapping deadlines.
• High integrity, sound judgment, and a practical risk-based approach.

For more information about the company, please refer to our website at www.lacapm.com.

Personnel/Applicant Privacy Notice

Los Angeles Capital is committed to safeguarding the privacy of our personnel and job applicants. Los Angeles Capital does not "sell" (as that term is defined in the CCPA) your personal information. Please see the privacy notice for details: https://lacapm.com/files/9H6wltimZGhE/california-personnel-and-job-applicant-privacy-notice.pdf.