TCW · 4 days ago
Investment Compliance Analyst
US-CA-Los Angeles
Full-time
Onsite
Senior Level
$130K/yr - $140K/yr
5+ years expTCW is a leading investment management firm, and they are seeking an Investment Compliance Analyst to join their Investment Compliance team. The role involves providing compliance support, monitoring trading activity against guidelines, and collaborating with various teams to ensure compliance with regulatory requirements.
Asset ManagementFinanceFinancial Services
Responsibilities
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
Review daily portfolio compliance results, identify and resolve any active or passive compliance issues
Participate in the new account setup and guideline change process, providing a secondary review of new and amended guidelines in the compliance monitoring system
Partner with Investment Compliance to thoroughly develop and implement comprehensive rule testing process
Collaborate with Rule Coding, Data Management, and IT-Trading & Compliance teams to analyze and request new data requirements to support new and modified guideline requirements
Identify and resolve any issues/concerns with investment guideline interpretation and coding
Working knowledge of governing documents, including but not limited to Investment Management Agreements (IMA), Prospectuses, Statement of Additional Information (SAI), and Fund Declarations
Effectively participate in internal and external audits of controls and associated testing
Qualification
Required
Bachelor's degree and minimum of 5 years of relevant experience, including knowledge and use of Aladdin or equivalent experience with other compliance monitoring applications
Experience and knowledge of Investment Compliance rule construction, including the identification and implementation of incorporating new data requirements
Working knowledge and understanding of capital markets; experience with fixed income, equity, and derivative instruments
Basic knowledge of the Investment Company Act of 1940, UCITs, and other regulatory requirements
Excellent verbal and written communications skills
Proficiency in Bloomberg and other major software applications
A self-starter who takes initiatives
Ability to work independently, but willing to contribute to team projects and collaborative efforts, as needed
Strong analytical skills with excellent attention to detail
Excellent organizational skills and the ability to prioritize multiple requests from a variety of sources
Benefits
Eligible for TCW’s comprehensive benefits package.
Eligible to be considered for an annual discretionary bonus
Company
TCW
TCW is a global asset manager with more than fifty years of experience across fixed income, equities, and alternatives.
501-1000 employees
H1B Sponsorship
TCW has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (7)
2024 (5)
2023 (2)
2022 (5)
2021 (4)
2020 (2)
Funding
Current Stage
Late StageTotal Funding
unknownKey Investors
Nippon Life Insurance Company of Japan
2017-12-01Series Unknown
2012-08-08Acquired
Leadership Team
Bob Baxter
Senior Vice President
David D. Kim
Managing Director, Head of Japan
Recent News
2025-10-16
2025-06-14
Company data provided by crunchbase