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Code of Ethics Compliance Analyst

4 months ago

Newport Beach, United States Ultimate Staffing Full time

We are looking for a contract Compliance Consultant to play a crucial role in supporting the Code of Ethics compliance program, focusing on employee personal trading and outside business activity requirements. This position will be based in Newport Beach, CA.

Location: Newport Beach, CA (in office)

Payrate: $30

Hours: 7am-4pm or 8 am to 5pm

Key responsibilities of the Compliance Consultant include:

  • Reviewing employee personal trades for potential conflicts with firm trades
  • Conducting daily personal trading conflicts of interest reviews and issuing compliance violations as necessary
  • Facilitating regulatory filings for Sponsored Closed-End Fund insiders as required by Section 16 of the 1934 Securities Act
  • Engaging with employees across all levels on compliance reviews and matters identified
  • Managing employee inquiries regarding personal trading and Code of Ethics requirements
  • Overseeing personal trading system maintenance, including adding/removing personal accounts from automated broker feeds and monthly data uploads
  • Contributing to the personal trading system's development life cycle, including testing system changes and providing business sign-off
  • Managing the quarterly compliance certification launch, follow-up, and violations process
  • Generating quarterly reports of personal investment statements for employees
  • Coding firm restricted trading lists in the personal trading system
  • Facilitating the onboarding of new employees
  • Assisting compliance personnel with various projects and ad hoc tasks

Requirements:

  • Undergraduate degree, preferably in Business, Economics, Finance, or related field
  • Preferably previous experience in Code of Ethics Compliance, with a focus on monitoring personal trading and the system development life cycle
  • Technical proficiency in Microsoft Excel, including Excel formulas (e.g., vlookups, Pivot tables) and Microsoft Word
  • Strong background in securities and investment products, including stocks, bonds, derivatives, mutual funds, ETFs, and private funds
  • Excellent verbal and written communication skills
  • Ability to work independently, proactively identifying and addressing issues
  • Initiative to lead projects and follow up on outstanding items
  • Strong organizational and analytical skills, with a keen attention to detail and problem-solving ability
  • Effective communication of project progress and ability to escalate challenges
  • Flexibility to adapt to changing priorities and business demands
  • Discretion and ability to handle confidential information with integrity.


All qualified applicants will receive consideration for employment without regard to race, color, national origin, age, ancestry, religion, sex, sexual orientation, gender identity, gender expression, marital status, disability, medical condition, genetic information, pregnancy, or military or veteran status. We consider all qualified applicants, including those with criminal histories, in a manner consistent with state and local laws, including the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance.