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    Compliance Officers - Newport Beach, CA, United States - INSPYR Solutions

    INSPYR Solutions
    INSPYR Solutions Newport Beach, CA, United States

    1 week ago

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    Description

    Title:
    Code of Ethics Compliance Consultant

    Duration: 6+ months contract


    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 Compliance Consultant's key responsibilities include, but are not limited to the following:
    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.
    ensuring personal accounts are added to/ removed from an automated broker feed, monthly data uploads)
    test system changes to provide business sign-off)
    Manage quarterly compliance certification launch, follow-up, and violations process.
    Manage firm restricted trading list coding in the personal trading system.
    Assist compliance personnel with various projects and ad hoc tasks.

    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)
    Take initiative to lead projects and follow-up on outstanding items.
    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.
    Comprehensive medical benefits
    Retirement plan
    ...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. 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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