Analysis Skills, Brokerage, Communication Skills, Detail Oriented, Documentation, Economics, Finance, Financial Compliance, Financial Trend Analysis, Fixed Income Investments, Investment Management, Leadership, Multitasking, Mutual Funds, Organizational Skills, Presentation/Verbal Skills, Private Funding, Problem Solving Skills, Process Improvement, Regulatory Compliance, Systems Administration/Management, Trading Systems, Writing Skills
Join a high-performing compliance team at a world leading investment management company located in Newport Beach. This is a great opportunity for a someone with financial exposure in eithercollegeor professionally who is looking for something entry level and has an interest in financialcompliance. The new hirewilljoin ahighly visible department and partner with both junior and senior leadership at the firm.
Key Details
- Job Type: Contract
- Work Arrangement: On-site in Newport Beach, CA
- Pay: $25/hour
Why This Role Is Awesome / Your Impact
Youll sit at the center of a firms ethics and employee trading controls at a reputable firm whilehelping protect the organization, its employees, and its clients. The work is highly visible and detail-driven, and youll become a trusted partner tocolleagues at all levels.
Responsibilities
- Review and monitoremployee personal brokerage/investment activityto ensure alignment with internal ethics and personal trading policies (including pre-approval workflows and conflict checks).
- Conductconflicts of interest reviewsrelated to employee trading and outside activity as needed.
- Track, trend, and escalateexceptions and unusual trading patterns, maintaining clean documentation and clear narratives.
- Communicate directly with employees across the organization, from early-career professionals to senior leaders regarding reviews, questions, and follow-ups.
- Own the day-to-day operations of thepersonal trading platform, including account maintenance, broker-feed coordination, and scheduled data uploads.
- Coordinate the quarterlycompliance attestation/certification cycle: launch, follow-up, issue resolution, and documentation of outcomes.
- Draft and issuepolicy exceptions or violationswhen required, ensuring a fair and consistent process.
- Supportnew hire onboardingrelated to ethics/personal trading requirements and system setup.
- Assist with compliance projects, process improvements, and ad hoc requests (including drafting written summaries and guidance).
Qualifications
- Bachelors degreeBusiness, Economics, Finance Required
- Strong understanding ofsecurities and investment products, such as equities, fixed income, derivatives, mutual funds, ETFs, and private funds.
- Advanced proficiency inMicrosoft Excel(e.g., lookups, PivotTables, formulas)
- Excellent written and verbal communication skills, with the ability to be tactful, direct, and professional.
- Highly organized, analytical, and detail-oriented; able to manage multiple priorities with minimal oversight.
- Any experience inCode of Ethics / employee personal trading complianceor a closely related compliance operations function is preferred.
- High discretion and demonstrated ability to handle confidential information appropriately.
There are no costs for candidates utilizing our services as our clients pay for all related hiring fees. All ProPivotal job postings are either actual positions we had available at the time of posting and/or are representative of positions we typically fill or expect to fill. If you see a job that interests you, respond to the ad or give us a call so that we can help you find a job you'll love. As one of the area's largest staffing firms, we help 2,500 people find jobs a year so chances are good that we can help you too.
ProPivotal is an equal opportunity employer and considers qualified applicants for employment regardless of race, gender, gender identity, gender expression, age, color, religion, disability, veteran's status, sexual orientation, or any other protected factor.
PandoLogic. Keywords: Regulatory Compliance Specialist, Location: Newport Beach, CA - 92658