Compliance Assistant- Newport Beach, CA
$30 - $36 per hourMerit Personnel & Consulting
Location: Newport Beach, CA (onsite required) Rate: $30-36/hr (Contract [6mo.] to Hire)
RESPONSIBILITIES:
The Compliance Assistant position is a 6-month commitment. Responsibilities are expected to include: Review daily surveillance reports of firm transactions Perform forensic reviews of market-abuse and e-surveillance alerts Follow-up with trade floor personnel on report outliers and escalate potential issues as appropriate to members of Surveillance team Assist compliance personnel with various projects and ad hoc tasksREQUIREMENTS:
Undergraduate degree, preferably with a major in Business, Economics, Finance, or related field General understanding of bonds, equities and derivatives 1-2 years of previous compliance preferred not required, including experience in monitoring firm trading Technical aptitude with Microsoft Excel, including Excel formulas (e.g., vlookups, Pivot tables), Word and Powerpoint 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 of the firm. #J-18808-Ljbffr Merit Personnel & ConsultingVacancy posted 2 days ago
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