COE Compliance Assistant - Newport
Company: Yoh, A Day & Zimmermann Company
Location: Newport Beach
Posted on: April 10, 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. Keywords: Compliance
Assistant, Location: Newport Beach, CA - 92658
Keywords: Yoh, A Day & Zimmermann Company, Newport Beach , COE Compliance Assistant - Newport, Other , Newport Beach, California
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