COE Compliance Assistant - Newport
Company: Yoh, A Day & Zimmermann Company
Location: Newport Beach
Posted on: April 8, 2021
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Job Description:
Job Description - Compliance Assistant ideally working on a Code
of Ethics team Location - Remote RESPONSIBILITIES: The Compliance
Assistant position is a 6-month commitment and responsibilities are
expected to include: --- Review employee personal trades for firm
conflicts --- Complete daily personal trading conflicts of interest
reviews and issue compliance violations, as necessary --- Engage
with employees from 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 (e.g., ensuring personal
accounts are added to/ removed from an automated broker feed,
monthly data uploads) --- 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 related field --- Preferably
previous Compliance analyst, with experience monitoring personal
trading --- Technical aptitude with Microsoft Excel, including
Excel formulas (e.g., vlookups, Pivot tables) and Microsoft Word
--- 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 --- Have a high degree of
discretion and ability to safeguard confidential information ---
Have a strong sense of integrity, behaving consistently with
expressed values and ethical principles of the client Yoh, a Day &
Zimmermann company, is an Equal Opportunity Employer. All qualified
applicants will receive consideration for employment without regard
to race, color, religion, sex, sexual orientation, gender identity,
national origin, disability, or status as a protected veteran.
Visit https://www.yoh.com/applicants-with-disabilities to contact
us if you are an individual with a disability and require
accommodation in the application process.PandoLogic. Category:
Marketing & Biz Dev, Keywords: Compliance Assistant
Keywords: Yoh, A Day & Zimmermann Company, Newport Beach , COE Compliance Assistant - Newport, Other , Newport Beach, California
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here to apply!
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