Code of Ethics Compliance Analyst

We are looking for a contract Compliance Consultant to play a crucial role in supporting the Code of Ethics compliance program, focusing on employee personal trading and outside business activity requirements. This position will be based in Newport Beach, CA.

Location: Newport Beach, CA (in office)

Payrate: $30

Hours: 7am-4pm or 8 am to 5pm

Key responsibilities of the Compliance Consultant include:

Reviewing employee personal trades for potential conflicts with firm trades

Conducting daily personal trading conflicts of interest reviews and issuing compliance violations as necessary

Facilitating regulatory filings for Sponsored Closed-End Fund insiders as required by Section 16 of the 1934 Securities Act

Engaging with employees across all levels on compliance reviews and matters identified

Managing employee inquiries regarding personal trading and Code of Ethics requirements

Overseeing personal trading system maintenance, including adding/removing personal accounts from automated broker feeds and monthly data uploads

Contributing to the personal trading system's development life cycle, including testing system changes and providing business sign-off

Managing the quarterly compliance certification launch, follow-up, and violations process

Generating quarterly reports of personal investment statements for employees

Coding firm restricted trading lists in the personal trading system

Facilitating the onboarding of new employees

Assisting compliance personnel with various projects and ad hoc tasks

Requirements:

Undergraduate degree, preferably in Business, Economics, Finance, or related field

Preferably previous experience in Code of Ethics Compliance, with a focus on monitoring personal trading and the system development life cycle

Technical proficiency in Microsoft Excel, including Excel formulas (e.g., vlookups, Pivot tables) and Microsoft Word

Strong background in securities and investment products, including stocks, bonds, derivatives, mutual funds, ETFs, and private funds

Excellent verbal and written communication skills

Ability to work independently, proactively identifying and addressing issues

Initiative to lead projects and follow up on outstanding items

Strong organizational and analytical skills, with a keen attention to detail and problem-solving ability

Effective communication of project progress and ability to escalate challenges

Flexibility to adapt to changing priorities and business demands

Discretion and ability to handle confidential information with integrity.

All qualified applicants will receive consideration for employment without regard to race, color, national origin, age, ancestry, religion, sex, sexual orientation, gender identity, gender expression, marital status, disability, medical condition, genetic information, pregnancy, or military or veteran status. 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.