Code of Ethics Compliance Consultant

Newport Beach, CA

Onsite  -  NON IT - Compliance / Audit  -  Contract  -  Job ID: 24-02254

Title: Code of Ethics Compliance Consultant
Location: Newport Beach, CA 92660 (on-site)
Duration: 6+ months contract
Compensation: $29.00-$32.00/hour
Work Requirements: US Citizen, GC Holders or Authorized to Work in the U.S.
 
Skillset / Experience:
We are a preeminent leader across fixed income strategies, including registered 40 Act funds, and are expanding our 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 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., VLOOKUP’s, Pivot tables) and Microsoft Word
  • 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.
  • Have a strong sense of integrity, behaving consistently with expressed values and ethical principles.

If you are interested and qualified, please send your resume, (Word format) to Michelle Nicolaus at mnicolaus@inspyrsolutions.com.
Our benefits package include:

  • 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.

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