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COE Compliance Assistant - Newport

Company: Yoh, A Day & Zimmermann Company
Location: Tustin
Posted on: April 10, 2021

Job Description:

Job Description - Compliance Assistant ideally working on

a Code of Ethics team

Location - Remote




RESPONSIBILITIES:



The Compliance Assistant position is a 6-month commitment and responsibilities are expected to include:



--- Review employee personal trades for firm conflicts

--- Complete daily personal trading conflicts of interest reviews and issue compliance violations, as necessary

--- Engage with employees from 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)

--- 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 Compliance analyst, with experience monitoring personal trading

--- Technical aptitude with Microsoft Excel, including Excel formulas (e.g., vlookups, Pivot tables) and Microsoft Word

--- 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 of the client

Yoh, a Day & Zimmermann company, is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. Visit https://www.yoh.com/applicants-with-disabilities to contact us if you are an individual with a disability and require accommodation in the application process.PandoLogic.Category: Marketing & Biz Dev, Keywords: Compliance Assistant

Keywords: Yoh, A Day & Zimmermann Company, Tustin , COE Compliance Assistant - Newport, Other , Tustin, California

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