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Code of Ethics Compliance Specialist

2 months ago


Newport Beach, United States INSPYR Solutions Full time
Job Title: Code of Ethics Compliance Consultant

We are seeking a highly skilled Code of Ethics Compliance Consultant to join our team at INSPYR Solutions. As a key member of our compliance team, you will be responsible for supporting the Code of Ethics compliance program, including oversight of employee personal trading and outside business activity requirements.

Key Responsibilities:
  • Review employee personal trades for potential conflicts with firm trades
  • Complete daily personal trading conflicts of interest reviews and issue compliance violations, as necessary
  • Facilitate regulatory filings for client-sponsored closed-end fund insiders as required by Section 16 of the 1934 Securities Act
  • Engage with employees ranging from junior analysts to managing directors on any compliance reviews/matters identified
  • Manage employee inquiries regarding personal trading and Code of Ethics requirements
  • Manage personal trading system maintenance, including ensuring personal accounts are added to or removed from an automated broker feed, monthly data uploads
  • Contribute to personal trading system development life cycle, including testing system changes to provide business sign-off
  • Manage quarterly compliance certification launch, follow-up, and violations process
  • Generate quarterly reporting of personal investment statements for employees
  • Manage firm restricted trading list coding in the personal trading system
  • Facilitate onboarding of new employees
  • Assist compliance personnel with various projects and ad hoc tasks
Requirements:
  • Undergraduate degree, preferably with a major in business, economics, finance, or a related field
  • Previous Code of Ethics compliance professional experience, with experience monitoring personal trading and the system development life cycle
  • Technical aptitude with Microsoft Excel, including Excel formulas (e.g., vlookups, pivot tables) and Microsoft Word; Python skills would be a plus
  • Strong background in securities and investment products (stocks, bonds, derivatives, open-end mutual funds, closed-end funds, ETFs, private funds)
  • Strong verbal/written communication skills
  • Ability to work in a self-directed manner, proactively identifying issues and being solution-oriented
  • Take initiative to lead projects and follow-up on outstanding items
  • Strong organizational and analytical skills, high attention to detail, and problem-solving ability
  • Be highly communicative regarding project progress, and escalate any challenges/bottlenecks
  • Highly flexible – capable of rapidly changing priorities based on business demands
  • Have a high degree of discretion and ability to safeguard confidential information

We offer a comprehensive benefits package, including competitive pay, comprehensive medical benefits, 401(k) retirement plan, and much more. If you are a motivated and detail-oriented individual with a passion for compliance, we encourage you to apply for this exciting opportunity.