Material Non-Public Information Compliance Specialist

2 weeks ago


Newport Beach, California, United States INSPYR Solutions Full time

Position:

Material Non-Public Information Compliance Specialist We invite you to explore the details of this role below.


Location:
Remote
Duration: Contractual Engagement

Compensation:
Competitive hourly rate.

Eligibility Requirements:
Must be a U.S. Citizen, Green Card Holder, or authorized to work in the United States.

Overview:

The Compliance Division is responsible for implementing the firm's MNPI Policy and associated procedures, including the establishment of both permanent and temporary information barriers, as well as managing the client's restricted trading lists and watchlists.


Key Responsibilities:
This role involves executing procedures aimed at:
(1) regulating the acquisition and dissemination of material non-public information ("MNPI");
(2) updating and maintaining various restricted trading lists; and
(3) providing additional assistance as required for other MNPI-related policies and procedures. The ideal candidate will possess strong interpersonal and analytical capabilities, thriving in a dynamic and fast-paced environment, and will be adept at achieving objectives amidst frequent changes in daily priorities. Exceptional verbal and written communication skills, organizational abilities, and meticulous attention to detail are essential for success in this role.

Specific Duties Include:
- Collaborating with the Control Group function, closely engaging with members of the Compliance and Legal departments on a global scale;
- Evaluating requests for expert network interactions from investment professionals;
- Facilitating internal wall-crossings and other meetings as necessary;
- Assessing and granting access to virtual data rooms for investment professionals as appropriate;
- Assisting investment professionals with the planned or inadvertent receipt of MNPI;
- Accurately maintaining various restricted lists and enhancing coordination in managing confidential information across the organization.

Candidate Qualifications:

Candidates should be prepared to gain a comprehensive understanding of the firm's operations and the role of the Compliance Division in supporting the organization's objectives.

- Familiarity with insider trading laws and regulations in the U.S. and an understanding of the distinction between public and private sides.
- Comfort in managing the receipt of confidential information and MNPI in accordance with established protocols, with the ability to escalate issues when necessary.
- Demonstrated capability to execute the primary processes and controls that safeguard the firm against actual and perceived insider trading violations or other legal infractions, SEC regulations, and the client's MNPI Policy.

Benefits:
Our comprehensive benefits package includes:
- Extensive medical coverage
- Competitive compensation
- 401(k) retirement savings plan
- Additional perks and benefits.

About INSPYR Solutions:
INSPYR Solutions is dedicated to technology and committed to quality. As a national leader in providing flexible technology and talent solutions, we align industry and technical expertise with our clients' business goals and cultural needs. Our tailored solutions encompass a wide range of professional services, project, and talent solutions. By consistently striving for excellence and emphasizing the human aspect of our business, we work collaboratively with our talent and clients to match the right solutions to the right opportunities. INSPYR Solutions is an Equal Employment Opportunity employer, ensuring a diverse and inclusive workplace.

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