Regulatory Compliance Analyst - Newport Beach, United States - Ultimate Staffing Services

Ultimate Staffing Services Newport Beach, United States

1 day ago

Description

Job Description

This role offers an exciting opportunity within the Legal & Compliance department, supporting a proprietary compliance system. The Rule Automation Team is responsible for accurately coding and automating client, regulatory, and internal guidelines within the compliance system.

The Analyst will gain broad exposure to the entire Investment Guideline Compliance process.

· Location: Newport Beach, CA In office

· Hours: 8am-5pm

· Payrate: $30-$33

· Skills: Advanced Excel

Duties:

· Daily tasks may include creating, automating, and maintaining compliance rules based on investment guidelines and regulations.

· Ensuring accurate reflection of guideline interpretations of accounts' restrictions in the compliance system is a key responsibility.

· Addressing inquiries regarding the status or functionality of compliance rules through research and investigation is part of the role.

· Testing and implementing new functionalities within the compliance system contribute to ongoing improvement efforts.

· Participation in numerous analytical and technical ad hoc projects aimed at automating account guideline compliance is expected.

Requirements:

Minimum of a Bachelor's Degree (Accounting, Business, Finance or Economics preferred)

0 - 3 years of professional experience in compliance or the investment management industry

Basic knowledge of the global equity and fixed income markets, including an understanding of financial products such as bonds, equities, and derivatives.

Intermediate/advanced working knowledge of MS Excel.

Experience with coding in a compliance system is ideal

Exposure to querying, particularly with SQL and Business Objects

Experience with Bloomberg

CFA designation or active status in the CFA program is a plus

All qualified applicants will receive consideration for employment without regard to race, color, national origin, age, ancestry, religion, sex, sexual orientation, gender identity, gender expression, marital status, disability, medical condition, genetic information, pregnancy, or military or veteran status. 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 Analyst

2 days ago

Torrance Health Associates Torrance, United States

**Compliance Analyst - Torrance Health IPA** · **Job Description**: · - Performs health plan and regulatory required reporting · - Interprets required compliance reporting standards, specifications · - Assists in the preparation for health plan and regulatory audits, including do ...
Compliance Analyst

1 week ago

INSPYR Solutions Newport Beach, United States

Title: Compliance Analyst (Rule Automation)Location: Newport Beach, CADuration: 6+ month contractCompensation: $30-35/hr.Work Requirements: US Citizen, GC Holders or Authorized to Work in the U.S. · If interested, please contact Margot Parsons at or call · Summary:This is a ch ...
Information Security Compliance Analyst

10 hours ago

Ingram Micro Irvine, United States

It's fun to work in a company where people truly BELIEVE in what they're doing · Ingram Micro has earned Great Place to Work Certification for in the United States This prestigious recognition reflects our commitment to our people and our culture. · Come join our team where you'l ...
Global Trade Compliance Analyst

1 week ago

Infosoft Santa Ana, United States

One of our clients is looking for a talented and highly motivated **Global Customs Analyst II**. Please **send your resume** if you would like to pursue this opportunity and you authorize Infosoft to represent you for this position. · Here are the job position details for your re ...
Senior Compliance Analyst

1 week ago

Pacific Life Newport Beach, United States

Job Description: · Pacific Life is investing in bright, agile and diverse talent to contribute to our mission of innovating our business and creating a superior customer experience. We're actively seeking a talented Senior Compliance Analyst to join our Distribution & Marketing ...
Analyst, Trade Compliance

2 days ago

PIMCO Newport Beach, CA, United States

PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capita ...
Regulatory Compliance Analyst

2 weeks ago

Ultimate Staffing Newport Beach, United States

This role offers an exciting opportunity within the Legal & Compliance department, supporting a proprietary compliance system. The Rule Automation Team is responsible for accurately coding and automating client, regulatory, and internal guidelines wi Compliance Analyst, Complianc ...
Senior Compliance Analyst

5 days ago

Knewin Newport Beach, United States

Job Description: · Pacific Life is investing in bright, agile and diverse talent to contribute to our mission of innovating our business and creating a superior customer experience. We're actively seeking a talented Senior Compliance Analyst to join our Distribution & Marketing C ...
Compliance Analyst II

1 week ago

Pacific Life Newport Beach, United States

Job Description: · Pacific Life is investing in bright, agile and diverse talent to contribute to our mission of innovating our business and creating a superior customer experience. We're actively seeking a talented Compliance Analyst to join our Consumer Affairs (Complaint Hand ...
Regulatory Compliance Analyst

1 week ago

Ultimate Staffing Newport Beach, United States

This role offers an exciting opportunity within the Legal & Compliance department, supporting a proprietary compliance system. The Rule Automation Team is responsible for accurately coding and automating client, regulatory, and internal guidelines within the compliance system. · ...
Senior Sales Compliance Analyst

1 week ago

Pacific Life Insurance Company Newport Beach, United States

Pacific Life is investing in bright, agile, and diverse talent to contribute to our mission of innovating our business and creating a superior customer experience. Were actively seeking a talented Senior Sales Compliance Analyst to join our Sales Ex Compliance Analyst, Compliance ...
Code of Ethics Compliance Analyst

5 days ago

Ultimate Staffing Services Newport Beach, United States

We are looking for a contract Compliance Consultant to play a crucial role in supporting the Code of Ethics compliance program, focusing on employee personal trading and outside business activity requirements. This position will be based in Newport B Compliance Analyst, Complianc ...
Analyst, Investment Guideline Compliance

1 day ago

Pacific Investment Management Company, LLC Newport Beach, United States

PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex deb Investment, Compliance, Analys ...
Analyst, Investment Guideline Compliance

3 days ago

PIMCO Newport Beach, CA, United States

PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capita ...
Analyst, Investment Guideline Compliance

1 day ago

PIMCO Newport Beach, CA, United States

PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capita ...
Senior Sales Compliance Analyst

1 week ago

Pacific Life Newport Beach, United States

Job Description: · Pacific Life is investing in bright, agile, and diverse talent to contribute to our mission of innovating our business and creating a superior customer experience. We're actively seeking a talented Senior Sales Compliance Analyst to join our Sales Experience an ...
Sr. Analyst, Customs Compliance

1 week ago

VF Corporation Costa Mesa, United States

VF Corporation outfits consumers around the world with its diverse portfolio of iconic lifestyle brands, including Vans, The North Face, Timberland, and Dickies. Founded in 1899, VF is one of the world's largest apparel, footwear and accessories companies with socially and enviro ...
Compliance Analyst

2 hours ago

The Intersect Group Irvine, United States

Compliance Analyst · IRVINE, CA · $60,000-$70,000 Annually · FULL-TIME OPPORTUNITIES · This position is on-site Monday – Friday 8:30am-5:00pm*** · Position Overview: · We are expanding our compliance team Our ideal Compliance Analyst is detail-oriented, proactive, and a self star ...
Compliance Analyst

1 week ago

ConsumerDirect, Inc. Irvine, United States

***Local candidates ONLY – this position is on-site Monday – Friday.*** · About ConsumerDirect: · ConsumerDirect is the people-first-financial platform and creator of , , and the HOGO app. We're the first and only company to combine credit, privacy, money management, and identity ...
Compliance Analyst

5 days ago

Alleviate Financial Solutions Irvine, United States

Are you a wizard at navigating the intricate maze of regulations, laws, and policies? Do acronyms like FDCPA, TCPA, and FTC make you feel like you're speaking your second language? If so, we've got the perfect potion for your career aspirations · As a Compliance Analyst extraord ...