Investment Compliance Analyst
Los Angeles, CA 
Posted Today
Job Description
Investment Compliance Analyst
Job Location(s) US-CA-Los Angeles
Job ID 2020-1504
Category Risk Management-Investments
Department Investment Compliance
Position Summary

The Investment Compliance Analyst will be a member of TCW's Portfolio Compliance team that provides compliance support to our investment teams, as well as other functions within TCW. Specifically, this individual will be responsible for monitoring current holdings and daily trading activity against client guidelines, restrictions, internal policies/procedures, and relevant regulatory requirements.

Essential Duties
    Review and interpret all governing documents, including but not limited to Investment Management Agreements (IMA), Prospectuses, Statement of Additional Information (SAI), and Fund Declarations
  • Identify and resolve any issues/concerns with investment guideline interpretation
  • Participate in the new account setup and guideline change process
  • Review EOD portfolio compliance results, identify and resolve any active or passive compliance issues
  • Work with Portfolio Management, Trading, Data Management and others within Investment Compliance to determine trade suitability, review daily trading activity, and identify and resolve any associated compliance issues
  • Undertake special compliance-related projects as assigned
  • Identify ways of creating efficiencies/improving processes to the Investment Compliance program using best practices
  • Effectively participate in internal and external audits of controls and associated testing
Required Qualifications
  • Bachelor's degree with with 3-4 years' relevant experience, including knowledge and use of CRD.
  • Working knowledge and understanding of capital markets; experience with fixed income, equity and derivative instruments
  • Basic knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Exchange Act of 1934, and other regulatory requirements
  • Excellent verbal and written communications skills
  • Proficiency in Bloomberg and other major software applications
Professional Skills Qualifications
  • A self-starter who takes initiatives and works independently
  • Strong analytical skills with excellent attention to detail
  • Excellent organizational skills and the ability to prioritize multiple requests from a variety of sources

EOE, including disability/vets


Job Summary
Start Date
As soon as possible
Employment Term and Type
Regular, Full Time
Required Education
Bachelor's Degree
Required Experience
3 to 4 years
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