Investment Services Compliance Specialist (Remote / Orange County CA Market)
Large Enterprise Financial Services Company
Great for an Economics/Finance Graduate with 1-2 years of working experience looking to join a large company!
Responsibilities are expected to include: Managing collection and conflicts review of quarterly personal investment statements for employees. Complete daily personal trading conflicts of interest reviews. Assisting compliance personnel with various projects. Creating detailed process documentation, for future reference. Additional ad hoc tasks, as requested by supervisor.
REQUIREMENTS: Undergraduate degree, preferably with a major in Business, Economics, Finance, or related field. Technical aptitude with Microsoft Excel, including Excel formulas (e.g., vlookups, Pivot tables) and Microsoft Word. 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.
Genuent
Newport Beach California
United States
Financial Services - Banking / Investment / Finance
(No Timezone Provided)
Investment Services Compliance Specialist (Remote / Orange County CA Market)
Large Enterprise Financial Services Company
Great for an Economics/Finance Graduate with 1-2 years of working experience looking to join a large company!
Responsibilities are expected to include: Managing collection and conflicts review of quarterly personal investment statements for employees. Complete daily personal trading conflicts of interest reviews. Assisting compliance personnel with various projects. Creating detailed process documentation, for future reference. Additional ad hoc tasks, as requested by supervisor.
REQUIREMENTS: Undergraduate degree, preferably with a major in Business, Economics, Finance, or related field. Technical aptitude with Microsoft Excel, including Excel formulas (e.g., vlookups, Pivot tables) and Microsoft Word. 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.