Code of Ethics Compliance

1 week 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: $28
  • 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 California Fair Chance Act, City of Los Angeles' Fair Chance Initiative for Hiring Ordinance, and Los Angeles County Fair Chance Ordinance. To the extent our customers require a background check for certain positions, the Company faces a significant risk to its business operations and business reputation unless a review of criminal history is conducted for those specific job positions.



  • 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: $28Hours: 7am-4pm or 8 am to 5pm Key...


  • 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: $28Hours: 7am-4pm or 8 am to 5pm Key...


  • Newport Beach, California, United States ProPivotal Full time

    Job Summary:We are seeking a dedicated Investment Ethics Compliance Specialist to support our Code of Ethics compliance program. This contract position offers $28 per hour and involves overseeing employee personal trading and outside business activities.Key Responsibilities:Review and manage employee personal trades to identify potential conflicts with firm...


  • Dania Beach, Florida, United States City of Dania Beach, FL Full time

    Job SummaryThe City of Dania Beach, FL is seeking a highly motivated and detail-oriented Code Compliance Officer to join our Community Development Team. As a key member of our team, you will be responsible for enforcing compliance with the City's occupational license, public nuisance, land development, and housing codes.Key ResponsibilitiesInitiate and...


  • Miami Beach, Florida, United States City of Miami Beach, FL Full time

    Job SummaryWe are seeking a highly skilled Building Inspector to join our team at the City of Miami Beach, FL. As a Building Inspector, you will play a critical role in ensuring compliance with national, state, and local laws, codes, ordinances, and regulations in our Building Department.Key ResponsibilitiesConduct technical field inspections of buildings...


  • Hermosa Beach, California, United States City of Hermosa Beach Isai Full time

    Job SummaryWe are seeking a highly skilled and experienced professional to join our team as a Building and Code Enforcement Official. This is a challenging and rewarding role that requires strong leadership and management skills, as well as a deep understanding of building codes and regulations.Key ResponsibilitiesLeadership and Management: Provide strategic...


  • Newport Beach, California, United States Ultimate Staffing Full time

    Job Description**Job Title:** Compliance Consultant**Job Summary:** We are seeking a highly skilled Compliance Consultant to join our team at Ultimate Staffing. The successful candidate will play a crucial role in supporting our Code of Ethics compliance program, focusing on employee personal trading and outside business activity requirements.Key...


  • Hermosa Beach, California, United States City of Hermosa Beach Isai Full time

    Position: Municipal Code Compliance Officer at the City of Hermosa BeachCompany Overview:The City of Hermosa Beach is dedicated to fostering a secure and welcoming workplace, emphasizing the well-being and safety of both its employees and the community.Evaluate residential, commercial, and various properties to guarantee adherence to municipal codes and...


  • Hermosa Beach, California, United States City of Hermosa Beach Isai Full time

    Position SummaryUnder the supervision of the Community Development Director, this role encompasses:Strategizing, organizing, and overseeing operations within the Community Development Department, with a primary focus on building inspections and code enforcement activities.Assisting in the management of departmental functions and performance, ensuring...

  • Compliance Officer

    6 days ago


    Newport Beach, California, United States INSPYR Solutions Full time

    Job SummaryWe are seeking a highly skilled Compliance Consultant to join our team at INSPYR Solutions. As a Compliance Consultant, you will play a critical role in supporting our Code of Ethics compliance program, including oversight of employee personal trading and outside business activity requirements.Key ResponsibilitiesReview employee personal trades...

  • Structural Engineer

    3 days ago


    Miami Beach, Florida, United States City of Miami Beach, FL Full time

    Job SummaryWe are seeking a highly skilled Structural Engineer to join our team at the City of Miami Beach, FL. As a Structural Engineer, you will be responsible for ensuring compliance with building codes and regulations in the City.Key ResponsibilitiesPerform detailed structural and building plan reviews, including loads analysis, computation of structural...


  • Myrtle Beach, South Carolina, United States Associa Full time

    Job OverviewWe are looking for a part-time Code Compliance Specialist to support our operations. The successful candidate will play a crucial role in ensuring adherence to community regulations and standards.This position requires a commitment of four days per week, totaling 20 hours.Key Responsibilities:Manage and process violations in accordance with...


  • Myrtle Beach, South Carolina, United States Associa Full time

    Job Overview We are looking for a part-time Code Compliance Specialist to enhance our operations. The successful candidate will be tasked with enforcing community standards and regulations as outlined in governing documents. This role is structured for part-time engagement, requiring four days and a total of 20 hours each week. Key Responsibilities:Reviews...


  • Newport, Rhode Island, United States Standard Technology Full time

    Position Overview:This role requires a dedicated professional to conduct thorough audits of medical documentation and coding practices, ensuring adherence to federal coding standards and regulations. The successful candidate will be responsible for the accurate assignment of ICD, CPT, and HCPCS codes, along with necessary modifiers and quantities as...


  • Newport, Rhode Island, United States Standard Technology Full time

    Position OverviewThis role requires an individual to work onsite and involves a thorough review of medical documentation and coding practices to ensure adherence to federal coding standards and regulations. The selected candidate will be tasked with assigning ICD, CPT, and HCPCS codes, along with relevant modifiers and quantities as indicated by healthcare...


  • Manhattan Beach, California, United States City of Manhattan Beach, CA Full time

    Job SummaryThe City of Manhattan Beach, CA is seeking a highly skilled Code Enforcement Officer to join our team. As a Code Enforcement Officer, you will be responsible for ensuring compliance with Federal, State, County, and municipal building, zoning, parking, codes, ordinances, standards, and procedures.Key ResponsibilitiesInspect properties to ensure...


  • Newport, Rhode Island, United States Standard Technology Full time

    Position OverviewThis role is exclusively onsite. The selected candidate will be tasked with the examination of medical records and coding for adherence to federal coding standards and regulations. Responsibilities include the accurate assignment of ICD, CPT, and HCPCS codes, along with necessary modifiers and quantities as recorded by healthcare providers....


  • Newport, Rhode Island, United States Standard Technology Full time

    Position Overview:This role is entirely onsite and involves the critical task of reviewing medical documentation and coding to ensure adherence to federal coding standards and regulations. The selected candidate will be responsible for assigning ICD, CPT, and HCPCS codes, as well as modifiers and quantities as indicated by healthcare providers. Additionally,...


  • Juno Beach, Florida, United States NextEra Energy Full time

    Requisition ID: 81392 Florida Power & Light Company is America's largest electric company, providing clean, affordable, and reliable electricity to more than 12 million people in Florida. We operate one of the cleanest power generation fleets in the U.S. and our reliability is among the best in the nation. Our goal is to achieve Real Zero carbon emissions...


  • Hermosa Beach, California, United States City of Hermosa Beach Isai Full time

    Job SummaryWe are seeking a highly skilled and experienced professional to join our team as a Building and Code Enforcement Official. This is a challenging and rewarding role that requires strong leadership and management skills, as well as a deep understanding of building codes and regulations.Key ResponsibilitiesLeadership and Management: Provide strategic...