Investment Code of Ethics Professional -(contract $28/hr)
We areseeking a dedicated Investment Code of Ethics Professional to join our teambased in Newport Beach, CA. This contract position offers $28 per hour andinvolves supporting the Code of Ethics compliance program, particularlyfocusing on oversight of employee personal trading and outside businessactivities. The ideal candidate will handle daily operations and compliancereviews, contributing to our leadership in the fixed income strategy space andexpanding capabilities in a variety of investment strategies.
Responsibilities:
- Review and manage employee personal trades to identify potentialconflicts with firm trades
- Conduct daily reviews of personal trading conflicts of interest andissue compliance violations as necessary
- Facilitate regulatory filings for insiders as required by Section 16of the 1934 Securities Act
- Interact with employees at all levels for compliance reviews andinquiries
- Maintain and manage updates to the personal trading system, includingdata uploads and broker feed adjustments
- Oversee quarterly compliance certification processes, includinglaunch, follow-up, and handling violations
- Generate quarterly reports on personal investment statements foremployees
- Ensure accurate coding of the firm's restricted trading list in thepersonal trading system
- Coordinate the onboarding process for new employees in relation tocompliance requirements
- Assist with various compliance-related projects and ad hoc tasks asneeded
Qualifications:
- Bachelor’s degree in Business, Economics, Finance, or a related field
- Experience in Code of Ethics compliance, particularly with monitoringpersonal trading and understanding system development life cycles
- Proficiency in Microsoft Excel (vlookups, pivot tables) and MicrosoftWord
- Solid understanding of securities and investment products such asstocks, bonds, derivatives, and various fund types
- Excellent verbal and written communication skills
- Self-directed with a proactive approach to problem-solving and projectmanagement
- Strong organizational, analytical, and detail-oriented skills
- Flexibility to adapt to rapidly changing priorities and business needs
- High level of integrity and discretion in handling confidentialinformation and adhering to ethical principles
There are no costs for candidates utilizingour services as our clients pay for all related hiring fees. All ProPivotal jobpostings are either actual positions we had available at the time of postingand/or are representative of positions we typically fill or expect to fill. Ifyou see a job that interests you, respond to the ad or give us a call so thatwe can help you find a job you'll love. As one of the area's largest staffingfirms, we help 2,500 people find jobs a year so chances are good that we canhelp you too.
ProPivotal is an equal opportunityemployer and considers qualified applicants for employment regardless of race, gender,gender identity, gender expression, age, color, religion,disability,veteran's status, sexual orientation, or any other protected factor.
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