Job Description

Job Title: Trade Compliance Analyst

Location: Newport Beach, CA

Hours: 8:00 AM - 5:00 PM, Monday to Friday

Pay Rate: $32 per hour

Key Responsibilities:

• Analyze transactions and portfolio holdings in relation to regulatory, client, and internal guidelines, and calculate various risk parameters.
• Research and respond to inquiries about investment guidelines from the Trade Floor and both internal and external parties.
• Confirm compliance of all trades by the end of each business day.
• Prepare and distribute daily reports to relevant internal teams and stakeholders.
• Participate in ad hoc projects focused on optimizing and automating the Trade Compliance process.
• Demonstrate honesty and integrity in all professional dealings.
• Quickly learn and adapt to new processes, concepts, and skills.
• Maintain a strong commitment to quality and attention to detail.
• Exhibit excellent communication and interpersonal skills for effective collaboration.
• Show initiative and contribute to the overall success of the department and organization.

Position Requirements:

• Bachelor's degree (preferred fields: Accounting, Business, Finance, or Economics).
• Prior professional experience in compliance or the investment management industry.
• Basic understanding of global equity and fixed income markets, including financial products like bonds, equities, and derivatives.
• Intermediate to advanced proficiency in MS Excel.
• Experience with compliance monitoring systems is a plus.
• Familiarity with querying tools such as SQL and Business Objects.
• Experience using Bloomberg Terminal.
• CFA designation or active enrollment 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 California Fair Chance Act, City of Los Angeles' Fair Chance Initiative for Hiring Ordinance, and Los Angeles County Fair Chance Ordinance. For unincorporated Los Angeles county , to the extent our customers require a background check for certain positions, the Company faces a significant risk to its business operations and business reputation unless a review of criminal history is conducted for those specific job positions.

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