NewportBeachRecruiter Since 2001
the smart solution for Newport Beach jobs

Trade Compliance Specialist

Company: Ultimate
Location: Newport Beach
Posted on: April 28, 2021

Job Description:

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* Assist compliance personnel with various projects and ad hoc tasksREQUIREMENTS:* Undergraduate degree, preferably with a major in Business, Economics, Finance, or related field* Preferably previous Compliance Analyst experience monitoring personal trading - common stocks, ETF's, mutual funds and options.* 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

We are an equal opportunity employer and make hiring decisions based on merit. Recruitment, hiring, training, and job assignments are made without regard to race, color, national origin, age, ancestry, religion, sex, sexual orientation, gender identity, gender expression, marital status, disability, or any other protected classification. We consider all qualified applicants, including those with criminal histories, in a manner consistent with state and local laws, including the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance.

Keywords: Ultimate, Newport Beach , Trade Compliance Specialist, Other , Newport Beach, California

Click here to apply!

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

I'm looking for
in category

Log In or Create An Account

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

Newport Beach RSS job feeds