Addington Place of Shoal Creek
Code of Ethics Compliance Consultant
Addington Place of Shoal Creek, Newport Beach, California, us, 92659
Title: Code of Ethics Compliance Consultant
Duration: TBD
Location: Newport Beach, CA
*Hybrid 3 days onsite*
Compensation: $25-30/hr
Work Requirement: US Citizen, GC Holder, or Authorized to work in the U.S.
(Client) is a preeminent leader across fixed income strategies, including registered 40 Act funds, and is expanding its capabilities across a broad range of opportunistic and alternative strategies in the private fund space. The individual will support the Code of Ethics compliance program, including oversight of employee personal trading and outside business activity requirements. The position will be based in our corporate headquarters in Newport Beach, CA.
The Compliance Consultant's key responsibilities include, but are not limited to the following:
Review employee personal trades for potential conflicts with firm trades
Complete daily personal trading conflicts of interest reviews and issue compliance violations, as necessary
Facilitate regulatory filings for (client) Sponsored Closed-End Fund insiders as required by Section 16 of the 1934 Securities Act
Engage with employees ranging from junior analysts to Managing Directors on any compliance reviews/matters identified
Manage employee inquiries regarding personal trading and Code of Ethics requirements
Manage personal trading system maintenance (e.g., ensuring personal accounts are added to/ removed from an automated broker feed, monthly data uploads)
Contribute to personal trading system's development life cycle (e.g., test system changes to provide business sign-off)
Manage quarterly compliance certification launch, follow-up, and violations process
Generate quarterly reporting of personal investment statements for employees
Manage firm restricted trading list coding in the personal trading system
Facilitate onboarding of new employees
Assist compliance personnel with various projects and ad hoc tasks
REQUIREMENTS:
Undergraduate degree, preferably with a major in Business, Economics, Finance, or related field
Preferably previous Code of Ethics Compliance professional, with experience monitoring personal trading and with the system development life cycle
Technical aptitude with Microsoft Excel, including Excel formulas (e.g., vlookups, Pivot tables) and Microsoft Word; Python skills would be a plus
Strong background in securities and investment products (stocks, bonds, derivatives, open-end mutual funds, closed-end funds, ETFs, private funds)
Strong verbal/written communication skills
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
Highly flexible – capable of rapidly changing priorities based on business demands
Have a high degree of discretion and ability to safeguard confidential information.
Our benefits package includes:
(EXCLUDE on perm placements)
Comprehensive medical benefits
Competitive pay
401(k) retirement plan
…and much more!
About INSPYR Solutions
Technology is our focus and quality is our commitment. As a national expert in delivering flexible technology and talent solutions, we strategically align industry and technical expertise with our clients' business objectives and cultural needs. Our solutions are tailored to each client and include a wide variety of professional services, project, and talent solutions. By always striving for excellence and focusing on the human aspect of our business, we work seamlessly with our talent and clients to match the right solutions to the right opportunities. Learn more about us at inspyrsolutions.com.
INSPYR Solutions provides Equal Employment Opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability, or genetics. In addition to federal law requirements, INSPYR Solutions complies with applicable state and local laws governing nondiscrimination in employment in every location in which the company has facilities.
24-09149
#J-18808-Ljbffr
Duration: TBD
Location: Newport Beach, CA
*Hybrid 3 days onsite*
Compensation: $25-30/hr
Work Requirement: US Citizen, GC Holder, or Authorized to work in the U.S.
(Client) is a preeminent leader across fixed income strategies, including registered 40 Act funds, and is expanding its capabilities across a broad range of opportunistic and alternative strategies in the private fund space. The individual will support the Code of Ethics compliance program, including oversight of employee personal trading and outside business activity requirements. The position will be based in our corporate headquarters in Newport Beach, CA.
The Compliance Consultant's key responsibilities include, but are not limited to the following:
Review employee personal trades for potential conflicts with firm trades
Complete daily personal trading conflicts of interest reviews and issue compliance violations, as necessary
Facilitate regulatory filings for (client) Sponsored Closed-End Fund insiders as required by Section 16 of the 1934 Securities Act
Engage with employees ranging from junior analysts to Managing Directors on any compliance reviews/matters identified
Manage employee inquiries regarding personal trading and Code of Ethics requirements
Manage personal trading system maintenance (e.g., ensuring personal accounts are added to/ removed from an automated broker feed, monthly data uploads)
Contribute to personal trading system's development life cycle (e.g., test system changes to provide business sign-off)
Manage quarterly compliance certification launch, follow-up, and violations process
Generate quarterly reporting of personal investment statements for employees
Manage firm restricted trading list coding in the personal trading system
Facilitate onboarding of new employees
Assist compliance personnel with various projects and ad hoc tasks
REQUIREMENTS:
Undergraduate degree, preferably with a major in Business, Economics, Finance, or related field
Preferably previous Code of Ethics Compliance professional, with experience monitoring personal trading and with the system development life cycle
Technical aptitude with Microsoft Excel, including Excel formulas (e.g., vlookups, Pivot tables) and Microsoft Word; Python skills would be a plus
Strong background in securities and investment products (stocks, bonds, derivatives, open-end mutual funds, closed-end funds, ETFs, private funds)
Strong verbal/written communication skills
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
Highly flexible – capable of rapidly changing priorities based on business demands
Have a high degree of discretion and ability to safeguard confidential information.
Our benefits package includes:
(EXCLUDE on perm placements)
Comprehensive medical benefits
Competitive pay
401(k) retirement plan
…and much more!
About INSPYR Solutions
Technology is our focus and quality is our commitment. As a national expert in delivering flexible technology and talent solutions, we strategically align industry and technical expertise with our clients' business objectives and cultural needs. Our solutions are tailored to each client and include a wide variety of professional services, project, and talent solutions. By always striving for excellence and focusing on the human aspect of our business, we work seamlessly with our talent and clients to match the right solutions to the right opportunities. Learn more about us at inspyrsolutions.com.
INSPYR Solutions provides Equal Employment Opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability, or genetics. In addition to federal law requirements, INSPYR Solutions complies with applicable state and local laws governing nondiscrimination in employment in every location in which the company has facilities.
24-09149
#J-18808-Ljbffr