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Compliance Assistant- Newport Beach, CA

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

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