Investment Code of Ethics Professional - (contract $28/hr)

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 tradesConduct daily reviews of personal trading conflicts of interest andissue compliance violations as necessaryFacilitate regulatory filings for insiders as required by Section 16of the 1934 Securities ActInteract with employees at all levels for compliance reviews andinquiriesMaintain and manage updates to the personal trading system, includingdata uploads and broker feed adjustmentsOversee quarterly compliance certification processes, includinglaunch, follow-up, and handling violationsGenerate quarterly reports on personal investment statements foremployeesEnsure accurate coding of the firm's restricted trading list in thepersonal trading systemCoordinate the onboarding process for new employees in relation tocompliance requirementsAssist with various compliance-related projects and ad hoc tasks asneededQualifications:Bachelor’s degree in Business, Economics, Finance, or a related fieldExperience in Code of Ethics compliance, particularly with monitoringpersonal trading and understanding system development life cyclesProficiency in Microsoft Excel (vlookups, pivot tables) and MicrosoftWordSolid understanding of securities and investment products such asstocks, bonds, derivatives, and various fund typesExcellent verbal and written communication skillsSelf-directed with a proactive approach to problem-solving and projectmanagementStrong organizational, analytical, and detail-oriented skillsFlexibility to adapt to rapidly changing priorities and business needsHigh level of integrity and discretion in handling confidentialinformation and adhering to ethical principlesThere 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.

#J-18808-Ljbffr