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Compliance Assistant- Newport Beach, CA



Title: “Compliance Assistant”

Location: Newport Beach, CA (onsite required)

Rate: $30-36/hr (Contract [6mo.] to Hire)



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



  • 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.