NewportBeachRecruiter Since 2001
the smart solution for Newport Beach jobs

COE Compliance Assistant - Newport

Company: Yoh, A Day & Zimmermann Company
Location: Newport Beach
Posted on: April 10, 2021

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. Keywords: Compliance Assistant, Location: Newport Beach, CA - 92658

Keywords: Yoh, A Day & Zimmermann Company, Newport Beach , COE Compliance Assistant - Newport, Other , Newport Beach, California

Click here to apply!

Didn't find what you're looking for? Search again!

I'm looking for
in category
within


Other Other Jobs


Postmates: Food Delivery Driver
Description: Job DescriptionPostmates
Company: Postmates
Location: Yucaipa
Posted on: 04/17/2021

Licensed Mental Health Therapist- Work from Home
Description: Job DescriptionEarn more with BetterHelp Interested in joining the world's largest mental health platform You decide your schedule and how much you want to work, we'll take care of the client referrals (more...)
Company: BetterHelp
Location: Yucaipa
Posted on: 04/17/2021

Local CDL A Truck Drivers - Home Daily
Description: Truck Driver Benefits br br Home daily br Competitive annual salary br Potential extra day pay on top of salary br 2,500 raise after 90 days 2,500 raise on your anniversary
Company: Carvana
Location: Yucaipa
Posted on: 04/17/2021


Make up to $20/hour - Deliver with Postmates
Description: Job DescriptionPostmates has the largest on-demand fleet in the U.S. with 200,000 Postmates, and an equally extensive network of merchants. While some companies try to build a warehouse outside of a city (more...)
Company: Postmates
Location: Yucaipa
Posted on: 04/17/2021

Postmates - Earn Extra Cash
Description: Job Description Postmates has the largest on-demand fleet in the U.S. with 200,000 Postmates, and an equally extensive network of merchants. While some companies try to build a warehouse outside of a (more...)
Company: Postmates
Location: Yucaipa
Posted on: 04/17/2021

Postmates: Courier
Description: Job DescriptionPostmates
Company: Postmates
Location: Yucaipa
Posted on: 04/17/2021

Restaurant Delivery Driver
Description: Job DescriptionPostmates has the largest on-demand fleet in the U.S. with 200,000 Postmates, and an equally extensive network of merchants. While some companies try to build a warehouse outside of a city (more...)
Company: Postmates
Location: Yucaipa
Posted on: 04/17/2021

Warehouse Associate
Description: Job DescriptionWe're hiring Warehouse Associates to help our warehouse run smoothly and efficiently, while having fun in an open, team-based environment. We're seeking motivated forward-thinking
Company: Bluecrew
Location: Yucaipa
Posted on: 04/17/2021

Warehouse - Order Puller
Description: We are looking for Order Pullers to work for a retail products company --Come work in a fast paced warehouse environment, we---re hiring immediately. --Apply now br Primary responsibility will be (more...)
Company: Bluecrew
Location: Yucaipa
Posted on: 04/17/2021

Need Help Getting The Boys Ready In The Morning Deliver Them To Preschool And Pick Them Up
Description: I need help getting
Company: Care.com
Location: Yucaipa
Posted on: 04/17/2021

Log In or Create An Account

Get the latest California jobs by following @recnetCA on Twitter!

Newport Beach RSS job feeds