Administrative and Compliance Specialist

Hotchkis & Wiley•Los Angeles, CA

1d•Hybrid

About The Position

This hybrid role offers a unique opportunity to split your time approximately 50/50 between administrative support and personal trading compliance within a collaborative, professional investment management environment. Based in Los Angeles, the position provides hybrid flexibility, combining in‑office teamwork with remote work. You will report to the Director of Human Resources and work closely with the firm’s Compliance team to support personal trading compliance processes while also providing high‑level administrative support across the organization. This role is well suited for a detail‑oriented, highly organized professional with 5–10 years of experience who is interested in gaining deeper exposure to compliance operations in a financial services setting.

Requirements

Associate’s or Bachelor’s degree in business, finance, operations, or a related field, or an equivalent combination of education and experience.
5+ years of experience in administrative, operations, office support, or compliance‑adjacent roles, preferably in financial services, professional services, or another regulated environment.
Demonstrated experience providing executive‑level administrative support, including scheduling, travel coordination, and expense management.
Strong organizational skills, attention to detail, and ability to manage recurring workflows and deadlines.
Proficiency with Microsoft Office (Outlook, Excel, Word) and comfort learning firm‑specific systems.
High level of professionalism, discretion, and ability to handle confidential information.
Strong written and verbal communication skills, with the ability to collaborate across teams.

Nice To Haves

Exposure to compliance operations in a regulated environment (e.g., investment advisers, financial services, accounting).
Familiarity with Code of Ethics administration, employee certifications, pre‑trade clearance, or compliance monitoring systems.
Experience supporting recurring reporting, audits, or internal reviews.

Responsibilities

Provide high‑level administrative support, including expense reporting, calendar management, meeting coordination, and business travel arrangements.
Coordinate logistics for internal meetings, investment‑team activities, and board‑related meetings.
Provide backup reception coverage and support general office operations to ensure smooth day‑to‑day business functioning.
Administer the employee personal trading pre‑clearance process, including daily intake, tracking, and documentation within the compliance monitoring system.
Monitor employee trade alerts and brokerage data feeds to ensure transactions are captured and logged in accordance with the firm’s Code of Ethics.
Maintain the firm’s Restricted List and New Ideas List within the compliance system, following established protocols.
Support onboarding and offboarding of employee brokerage accounts, including documentation collection, system updates, and coordination of brokerage feeds.
Track receipt of brokerage statements, perform periodic reconciliations for non‑feed accounts, and escalate potential exceptions as appropriate.