Trade Compliance Analyst in Newport Beach, CA - New York, United States - Merit Personnel & Consulting

Merit Personnel & Consulting New York, United States

1 week ago

Description

Trade Compliance Analyst in Newport Beach, CA

This is an ideal opportunity for individuals interested in pursuing a career in a fast paced, dynamic, and challenging workplace with highly motivated and intelligent professionals.

In this role, you will learn about trades, trade strategies, the impact of trades to client portfolios, and the implementation of rules and regulations.

The Trade Compliance team is responsible for reviewing fixed-income and equity trades, on a pre and post trade basis, to ensure compliance with applicable restrictions.

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

Individuals in this position will have frequent interaction with a variety of groups at all levels of seniority including other teams within Legal & Compliance, Technology, Account Management, Product Strategy and the Trade Floor.

Key Responsibilities
Analyzing transactions and portfolio holdings with respect to regulatory, client, and internal guidelines and calculating various risk parameters
Researching and addressing inquiries related to investment guidelines from the Trade Floor and other internal/external parties.
Confirming all trades are compliant by the end of each business day
Preparing various reports on a daily basis to relevant internal groups
Participating in numerous ad hoc projects tied to optimizing and automating the Trade Compliance process
Position Requirements
Minimum of a Bachelor's Degree (Accounting, Business, Finance or Economics preferred)
1 – 5 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.
Preferred Qualifications
Experience monitoring transactions 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
Professional Skills Requirements
Have a strong sense of honesty and integrity
Quick learner and adaptable to learn new processes, concepts, and skills

Maintaining a strong commitment to quality and attention to details; ensuring that relevant work product is complete, accurate and on time.

Excellent communication (verbal and written), facilitation, and interpersonal skills, including the ability to face off across all levels of an organization in an effective and collaborative manner
Ability to multitask, work in a demanding, fast paced environment and handle multiple, competing priorities and projects with high quality output
Highly motivated self-starter with the ability to work collaboratively and independently
Desire to take initiative and contribute to the department and the organization
90 Broad Street
Suites 319
New York, NY 10004

#J-18808-Ljbffr

Finance Associate in Austin or Newport Beach

1 week ago

Merit Personnel & Consulting New York, United States

Finance Associate in Austin or Newport Beach K) · Title: · "Fund Finance Associate" · Location: · Austin, TX or Newport Beach, CA (Hybrid: 4 days in office, 1 day remote) · We are seeking a Fund Finance Associate to join our Fund Finance team. In this role, you will have two ...
HR Associate in Newport Beach, CA or Austin, TX

1 week ago

Merit Personnel & Consulting New York, United States

HR Associate in Newport Beach, CA or Austin, TX · Location: · Newport Beach, CA · OR · Austin, TX (onsite required) · Duration: · 3-6 month (Temp to Perm) · Rate: · $30-33/hr (60-65K once onboarded permanently) · OVERVIEW · Global Investment Firm is seeking an · HR Associa ...
ETL Developer

4 days ago

Open Systems Technologies New York, United States

A financial firm is looking for an ETL Developer to join their team. · Location in order of preference: Newport Beach, CA, New York City, or Remote. · Pay: $55-65/hr · Qualifications: A Bachelor's Degree in Computer Science, Information Systems, or a related field · 5+ years of ...
Partner + Associate Group

2 weeks ago

Direct Counsel New York, United States

Direct Counsel is actively seeking an accomplished Corporate Partner with a cohesive group of Associates to join our dynamic team. The ideal candidate will bring a portable book of business, along with a group of talented Associates, and a proven track record of success in corpor ...
Manager, Software Development- Digital

1 week ago

Hyundai Capital America New York, United States

Who We Are: · Through our service brands Hyundai Motor Finance, Genesis Finance*, and Kia Motors Finance, we provide financial products tailored to meet the needs of Hyundai, Genesis, and Kia dealerships nationwide, including dealer inventory and facility financing. And, through ...
Portfolio Associate

1 week ago

PIMCO New York, United States Full time

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 ...
Partner + Associate Group

5 days ago

Direct Counsel, LLC New York, United States

Job Description · Job DescriptionDirect Counsel is actively seeking an accomplished Corporate Partner with a cohesive group of Associates to join our dynamic team. The ideal candidate will bring a portable book of business, along with a group of talented Associates, and a proven ...
Sales Executive

1 week ago

Green Street Advisors New York, United States

Job Type Full-timeDescriptionGreen Street's Sales team offers a fast-paced, team-oriented environment where you will be expected and empowered to sell research products and services to a variety of prospect types. We are building a smart and ambitious Sales Team committed to our ...
Sales Executive

5 days ago

Green Street Advisors New York, United States

Job Type · Full-time · Description · Green Street's Sales team offers a fast-paced, team-oriented environment where you will be expected and empowered to sell research products and services to a variety of prospect types. We are building a smart and ambitious Sales Team committ ...
Sales Executive

3 days ago

Green Street Advisors LLC New York, United States

Job Description · Job DescriptionDescription:Green Street's Sales team offers a fast-paced, team-oriented environment where you will be expected and empowered to sell research products and services to a variety of prospect types. We are building a smart and ambitious Sales Team c ...
Content Lead GWM Marketing

11 hours ago

PIMCO New York, NY, United States Full time

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 ...
Vice President, Fund Treasury

2 days ago

PIMCO New York, NY, United States Full time

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 ...
Lender Business Development Specialist

1 week ago

Green Street Advisors New York, United States

Job Type Full-timeDescriptionAs a Debt/Lender Business Development Specialist specializing in the debt/lending community, you will be a vital member of our sales team, responsible for driving revenue growth through client acquisitions from named account group within the debt and ...
Lender Business Development Specialist

1 week ago

Green Street Advisors New York, United States

Job Type · Full-time · Description · As a Debt/Lender Business Development Specialist specializing in the debt/lending community, you will be a vital member of our sales team, responsible for driving revenue growth through client acquisitions from named account group within the ...
Full Time Hospitalist Physician

3 weeks ago

Enterprise Medical Recruiting Metro Area, United States Full time

Enterprise Medical is seeking a Nocturnist to join a well-established multi-specialty group located in the beautiful Coastal Hampton Roads, Virginia area · Overview: · 7 pm-7 am coverage in a flexible block schedule · Flexible block schedule with an average of 15 shifts per month ...
Full Time Family Medicine Physician

3 weeks ago

Enterprise Medical Recruiting Metro Area, United States Full time

Experienced Family Medicine physician sought to join an established multispecialty group in southeastern Massachusetts. Board certification in FM is required. The age range of patients can be determined by the provider. MD or DO training. · The opportunity: · eClinicalWorks EMR ...
Full Time Endocrinology Physician

3 weeks ago

Enterprise Medical Recruiting Metro Area, United States Full time

This Endocrine practice sees a prevalence of diabetes patients and also manages thyroid and other adult endocrine conditions. Candidates with an interest in diabetes and thyroid disease are highly desired. Any other areas of interest or expertise are welcomed. · The job · 160-pro ...
Lender Business Development Specialist

6 days ago

Green Street Advisors LLC New York, United States

Job Description · Job DescriptionDescription:As a Debt/Lender Business Development Specialist specializing in the debt/lending community, you will be a vital member of our sales team, responsible for driving revenue growth through client acquisitions from named account group with ...
Content Lead GWM Marketing

1 week ago

PIMCO New York, United States Full time

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 ...
Compliance Officer

2 weeks ago

PIMCO New York, 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 ...