Financial Compliance Associate

Join a high-performing compliance team at a world leading investment management company located in Newport Beach. This is a great opportunity for a someone with financial exposure in eithercollegeor professionally who is looking for something entry level and has an interest in financial compliance. The new hire will join a highly visible department and partner with both junior and senior leadership at the firm.

• Job Type: Contract
• Work Arrangement:
  On-site in Newport Beach, CA
• Pay: $25/hour

You’ll sit at the center of a firm’s ethics and employee trading controls at a reputable firm while helping protect the organization, its employees, and its clients. The work is highly visible and detail-driven, and you’ll become a trusted partner to colleagues at all levels.

• Review and monitor employee personal brokerage/investment activity to ensure alignment with internal ethics and personal trading policies (including pre-approval workflows and conflict checks).
• Conduct conflicts of interest reviews related to employee trading and outside activity as needed.
• Track, trend, and escalate exceptions and unusual trading patterns, maintaining clean documentation and clear narratives.
• Communicate directly with employees across the organization, from early-career professionals to senior leaders regarding reviews, questions, and follow-ups.
• Own the day-to-day operations of the personal trading platform, including account maintenance, broker-feed coordination, and scheduled data uploads.
• Coordinate the quarterly compliance attestation/certification cycle: launch, follow-up, issue resolution, and documentation of outcomes.
• Draft and issue policy exceptions or violations when required, ensuring a fair and consistent process.
• Support new hire onboarding related to ethics/personal trading requirements and system setup.
• Assist with compliance projects, process improvements, and ad hoc requests (including drafting written summaries and guidance).

• Bachelor’s degree Business, Economics, Finance Required
• Strong understanding of securities and investment products, such as equities, fixed income, derivatives, mutual funds, ETFs, and private funds.
• Advanced proficiency in Microsoft Excel (e.g., lookups, Pivot Tables, formulas)
• Excellent written and verbal communication skills, with the ability to be tactful, direct, and professional.
• Highly organized, analytical, and detail-oriented; able to manage multiple priorities with minimal oversight.
• Any experience in Code of Ethics / employee personal trading compliance or a closely related compliance operations function is preferred.
• High discretion and demonstrated ability to handle confidential information appropriately.