Financial Compliance Associate ($25/hr)

About the role

Join a high-performing compliance team at a world leading investment management company located in Newport Beach. This is a great opportunity for someone with financial exposure in either college or professionally who is looking for something entry level and has an interest in financial compliance. The new hire will join a highly visible department and partner with both junior and senior leadership at the firm. Work arrangement: On-site in Newport Beach, CA.

Responsibilities

• Review and monitor employee personal brokerage/investment activity to ensure alignment with internal ethics and personal trading policies (including pre-approval workflows and conflict checks).
• Conduct conflicts of interest reviews related to employee trading and outside activity as needed.
• Track, trend, and escalate exceptions and unusual trading patterns, maintaining clean documentation and clear narratives.
• Communicate directly with employees across the organization, from early-career professionals to senior leaders regarding reviews, questions, and follow-ups.
• Own the day-to-day operations of the personal trading platform, including account maintenance, broker-feed coordination, and scheduled data uploads.
• Coordinate the quarterly compliance attestation/certification cycle: launch, follow-up, issue resolution, and documentation of outcomes.
• Draft and issue policy exceptions or violations when required, ensuring a fair and consistent process.
• Support new hire onboarding related to ethics/personal trading requirements and system setup.
• Assist with compliance projects, process improvements, and ad hoc requests (including drafting written summaries and guidance).

Qualifications

• Bachelor’s degree in Business, Economics, or Finance (required).
• Strong understanding of securities and investment products, such as equities, fixed income, derivatives, mutual funds, ETFs, and private funds.
• Advanced proficiency in Microsoft Excel (e.g., lookups, PivotTables, formulas).
• Excellent written and verbal communication skills, with the ability to be tactful, direct, and professional.
• Highly organized, analytical, and detail‑oriented; able to manage multiple priorities with minimal oversight.
• Any experience in Code of Ethics / employee personal trading compliance or a closely related compliance operations function is preferred.
• High discretion and demonstrated ability to handle confidential information appropriately.

Pay

$25/hour