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Compliance Consultant

2 months ago

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 Responsibilities:

  • Personal Trading Reviews: Conduct daily reviews of employee personal trades for potential conflicts with firm trades, and issue compliance violations as necessary.
  • Regulatory Filings: Facilitate regulatory filings for Sponsored Closed-End Fund insiders as required by Section 16 of the 1934 Securities Act.
  • Employee Engagement: Engage with employees across all levels on compliance reviews and matters identified, and manage employee inquiries regarding personal trading and Code of Ethics requirements.
  • System Maintenance: Oversee personal trading system maintenance, including adding/removing personal accounts from automated broker feeds and monthly data uploads.
  • System Development: Contribute to the personal trading system's development life cycle, including testing system changes and providing business sign-off.
  • Compliance Certification: Manage the quarterly compliance certification launch, follow-up, and violations process.
  • Reporting: Generate quarterly reports of personal investment statements for employees.
  • Restricted Trading Lists: Code firm restricted trading lists in the personal trading system.
  • Onboarding: Facilitate the onboarding of new employees.
  • Ad Hoc Tasks: Assist compliance personnel with various projects and ad hoc tasks.

Requirements:

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