Portfolio Compliance Analyst Newport Beach, CA $100-$115k

Portfolio Compliance oversees guideline compliance for over 3,000 public funds and separate accounts on a post-trade basis, which includes independent compliance verification. We perform holdings-level analysis to detect any guideline breaches in client and fund portfolios and monitor all outstanding compliance issues from time of breach through resolution. In performing our array of compliance functions, PortfolioCompliance works closely with departments across the firm, including Account Management, Portfolio Management, Product Management, and Business Management. At its core, Portfolio Compliance monitors guideline compliance in order to manage and mitigate risk to both our clients and the firm.

The Portfolio Compliance Analyst position is a challenging and multifaceted role where responsibilities include analyzing account transactions and portfolio holdings in order to conduct full compliance verification for all public funds and separate accounts. Position requires research of potential compliance issues, client reporting, and working with Account and Portfolio Management in an effort to resolve outstanding violations. The role also includes participation in various ad hoc projects, such as process developments and improvements, scenario analysis, and technology testing. The position affords the opportunity to work in a fast-paced, dynamic, and challenging workplace with highly motivated and intelligent professionals.

Position Requirements:


  • An undergraduate degree in Finance, Economics, or Accounting is required for this role.
  • Two+ years of general fixed income/compliance experience is desired; knowledge of the Investment Company Act of 1940 a plus.
  • Possess strong analytical ability and excellent attention to detail. 
  • Effective verbal and written communication skills, ability to work in a team environment, and capable of managing multiple tasks with tight time deadlines. 
  • Problem solving and decision making skills are essential.
  • Strong knowledge of MS Excel required (formulas and functions).
  • Experience using MS Access, Business Objects, MS Excel VBA, SQL, and Bloomberg a plus.
  • CFA designation or active status in the CFA program is a plus.
  • If not already completed during the initial interview process, must score a 90% or better on the Compliance Assessment and MS Excel test.


  • Flourish in a challenging, fast-paced, professional environment with frequent shifts in priorities as business needs dictate.
  • Maintaining a strong commitment to quality and attention to detail; ensuring that the work product is delivered completed, accurately and on time.
  • Have a strong sense of honesty and integrity.
  • Maintain a professional demeanor in both routine and highly charged environments; adapt responses appropriately to each situation.
  • Desire to contribute to and grow with the organization through a variety of developmental assignments.
  • Display a sense of teamwork and foster a learning environment.


  • Medical, dental, and vision coverage
  • Life insurance and travel coverage
  • 401(k) (defined contribution) retirement savings, retirement plan, pension contribution from your first day of employment
  • Work/life programs such as flexible work arrangements, parental leave and support, employee assistance plan, commuter benefits, health club discounts, and educational/CFA certification reimbursement programs