Compliance Ass't - Code of Ethics
At a glance
Location: US-CA-Newport Beach Map
Posted: 09/18/2020
Closing: 10/17/2020
Degree: Not Specified
Type: Contractor
Experience: Not Specified
Job description
The Compliance Assistant position is a 6-month commitment and responsibilities are expected to include:

* Facilitating onboarding of new employees
* Reconciling records for new hire paperwork
* Managing collection and conflicts review of quarterly personal investment statements for employees
* Assisting compliance personnel with various projects
* Creating detailed process documentation, for future reference
* Additional ad hoc tasks, as requested by supervisor


* Undergraduate degree, preferably with a major in Business, Economics, Finance, or related field
* Technical aptitude with Microsoft Excel, including Excel formulas (e.g., vlookups, Pivot tables) and Microsoft Word
* 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

We are an equal opportunity employer and make hiring decisions based on merit. Recruitment, hiring, training, and job assignments are made without regard to race, color, national origin, age, ancestry, religion, sex, sexual orientation, gender identity, gender expression, marital status, disability, or any other protected classification. We consider all qualified applicants, including those with criminal histories, in a manner consistent with state and local laws, including the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance.
Compliance Ass't - Code of Ethics