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Compliance Assistant | 2681 job vacancy in Elite – Jobs in California

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We got a new job details in Elite & they are Hiring Candidates for Compliance Assistant | 2681

Job Details
Company Name :
Company Location :
Newport Beach, CA 92660
Job Position :
Compliance Assistant | 2681
Job Category :
Jobs in California

Job Description :
Compliance Assistant | 2681

Type – Temp
Duration –Temp-duration estimated for approximately 6 months (may end shorter or extend longer per Client request)
Rate – $30.00-35.00/hr**no benefits, no paid time off, no holiday paid time off for temp duration; if converted, benefits will be offered
Location – onsite – Newport Beach, CA 92660
Start – Immediate
** Pre-employment criminal screen, drug screen, completed degree/education verification and employment verifications are required to pass before clearing to start
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 tasks


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., VLOOKUP’s, Pivot tables), Word and PowerPoint
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
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

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