Financial Compliance Associate

This Contract Financial Compliance Associate role in Newport Beach, CA supports a world leading investment management organization by helping maintain ethics and employee trading controls. The position focuses on monitoring, conflict review support, compliance attestation activities, and ongoing platform operations.

Responsibilities

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

Requirements

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

Technology

• Microsoft Excel

Role Details

• Job Type: Contract
• Location: On-site in Newport Beach, CA
• Compensation: USD 25/hour

Impact

In this role, you will sit at the center of ethics and employee trading controls, supporting protections for the organization, its employees, and its clients. The work is visible, detail-driven, and designed to build trusted relationships across teams at multiple levels.