JOB DESCRIPTION
Title: “Compliance Assistant”
Location: Newport Beach, CA (onsite required)
Rate: $30-36/hr (Contract [6mo.] to Hire)
RESPONSIBILITIES:
The Compliance Assistant position is a 6-month commitment. Responsibilities are expected to include:
- Review daily surveillance reports of firm transactions
- Perform forensic reviews of market-abuse and e-surveillance alerts
- Follow-up with trade floor personnel on report outliers and escalate potential issues as appropriate to members of Surveillance team
- Assist compliance personnel with various projects and ad hoc tasks
REQUIREMENTS:
- Undergraduate degree, preferably with a major in Business, Economics, Finance, or related field
- General understanding of bonds, equities and derivatives
- 1-2 years of previous compliance preferred not required, including experience in monitoring firm trading
- Technical aptitude with Microsoft Excel, including Excel formulas (e.g., vlookups, Pivot tables), Word and Powerpoint
- 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 firm.