(212) 406-5800

Legal Compliance Coordinator (Newport Beach, CA)

Investment Management firm based in Newport Beach, CA looking for a Legal Compliance Coordinator.

Temp Role: 6 mo. w/ possibility of extension

Rate: $29/hour.

 

RESPONSIBILITIES:
• Assist in the onboarding process of new employees
• Reconciliation of records for new hire paperwork
• Managing collection and conflicts review of quarterly personal investment statements for employees
• Complete daily personal trading conflicts of interest reviews
• Assisting Compliance Department employees with projects as needed.
• Creating detailed and accurate process documentation, and organize for future reference
• Assistance in any additional ad hoc tasks, as requested by supervisor

REQUIREMENTS:
• Undergraduate degree, preferably with a major in Business, Economics, Finance, or related field
• Technical aptitude with Microsoft Word and Excel, including Excel formulas (e.g., vlookups, Pivot tables)
• Ability to work in a self-directed manner while proactively identifying issues and being solution-oriented
• Takes 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 firm