Compliance Assistant- Newport , CA

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
• 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.