Compliance Specialist

Who are we

Were Chandler Asset Management an employeeowned and independent financial services company; our concentration centers on managing taxable fixed income portfolios that are aligned with our institutional clients needs. We manage over $42 billion in assets and believe in the philosophy of creating value and managing risk with active management using robust quantitative analysis and qualitative insights.

What do we value

Great People with Great Values. Integrity service excellence education and teamwork are the values that define the culture at Chandler Asset Management.

In addition to our core values our culture is defined by 27 fundamental behaviors that describe our culture set us apart and drive our success. From the beginning weve always wanted to deliver total piece of mind through extraordinary performance. We believe our extraordinary performance and culture are driven by our dedicated and committed people.

Whats the job all about

The Compliance Specialist is responsible for independently monitoring compliance reviewing client investment policies and managing coding in Bloomberg AIM. While they still support senior roles they are expected to handle many tasks autonomously and highlight areas of concern proactively. Compliance Specialist are also responsible for supporting and leading key aspects of the firms regulatory compliance program. This position is a hybrid role based out of our San Diego CA office.

The essential functions of the role include but are not limited to the following:

• The essential functions include but are not limited to the following:
• Independently monitor compliance using tools like Bloomberg AIM. Analyze findings and highlight potential areas of concern.
• Independently review existing policies. Suggest changes based on evolving regulatory conditions.
• Handle coding processes with minimal supervision. Troubleshoot minor coding issues.
• Conduct indepth reviews especially in areas previously highlighted as risks. Document findings in detailed compliance reports.
• Support compliance reviews of client statements; internal and external followup on deficiencies.
• Independently assess potential risks. Highlight significant risks to senior staff.
• Draft review and suggest policy amendments. Test the feasibility of new policies before implementation.
• Prepare and submit filings. Ensure accuracy and timeliness in all regulatory activities.
• Ensure all records are maintained as per guidelines. Review records periodically for accuracy.
• Willingness to get advanced compliance certifications and/or FINRA supervisory registrations (FINRA Series 24 preferred).

This Team Member will have:

• Education: Bachelors degree with added certifications in compliance preferred.
• Industry Experience: 35 years with demonstrated growth.
• Technical Proficiency: Expertise in Microsoft Office Suite and CRM applications required.
• Familiarity with Bloomberg AIM is preferred.
• Communication Skills: Exceptional written and verbal communication skills are essential.
• Research & Update: Must stay regularly updated on industry norms and practices

What we can offer you!

Medical Dental Vision HSA & FSA

Life & AD&D

ShortTerm & LongTerm Disability

Accident & Critical Illness

Employee Assistance Program

Employee 401(k) Plan

ESOP

Employee Discounts

Paid Time Off

Paid Holidays

Fun Company Events

Ready to join our team!

Please note before submitting an application: as a company we take hiring very seriously. Although we are unable to followup with each and every applicant we do our best to run a thorough process for candidates with whom we identify a potential fit. Chandler Asset Management provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race religion color sex gender sexual orientation pregnancy age national origin ancestry physical/mental disability medical condition military/veteran status genetic information marital status ethnicity alienage or any other protected classification in accordance with applicable federal state and local laws. Those