Compliance Associate – Los Angeles

At B. Riley and Co., we offer unparalleled value, proprietary research, and creative banking solutions to our clients.

Compliance Associate – Los Angeles

Compliance Associate – Los Angeles

Compliance Associate – Los Angeles

Summary of Position

B. Riley FBR has an immediate opening for a Compliance Associate in its Los Angeles, CA headquarters. This position will lead the compliance efforts for the firm’s broker dealer.

Essential Position Responsibilities

  • Assist senior staff in maintaining broker dealer compliance program
  • Assist in the preparation of routine regulatory filings
  • Conduct daily review of positions and spot check of broker dealer activity
  • Interface with staff regarding client investments and disbursements
  • Review marketing materials and other client communications materials

Basic Qualifications

  • 1-4 years broker dealer or investment advisor compliance experience
  • Basic understanding of financial services and/or asset management
  • Proactive approach in identifying and correcting existing or potential problem areas
  • Ability to develop relationships with staff
  • Ability to create and maintain compliance related documentation
  • Strong verbal and written communication skills
  • Strong time management and project management skills
  • Excel and trading experience a plus

Additional Details

  • Competitive pay and benefits along with opportunities for professional growth
  • Position reports to CCO/ Deputy General Counsel

About B. Riley FBR, Inc.

B. Riley FBR, Inc. is a leading investment bank which provides corporate finance, research and sales and trading to corporate, institutional and high net worth individual clients. Investment banking services include initial secondary and follow-on offerings, institutional private placements and merger and acquisitions advisory services. The firm is nationally recognized for its highly ranked proprietary equity research.

B. Riley Financial, Inc. (NASDAQ:RILY), through its subsidiaries, provides collaborative financial services and solutions to the capital raising and financial advisory needs of public and private companies and high net worth individuals. The company operates through several wholly-owned subsidiaries, including B. Riley FBR, Inc., Wunderlich Securities, Inc., Great American Group, LLC, B. Riley Capital Management, LLC (which includes B. Riley Asset Management, B. Riley Wealth Management, and Great American Capital Partners, LLC) and B. Riley Principal Investments, a group that makes proprietary investments in other businesses, such as the acquisition of United Online, Inc.

To apply for this position, please click here.

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