Analysis Skills, Brokerage, Business Support, Communication Skills, Consulting, Corporate Compliance, Corporate Policies, Cross-Functional, Detail Oriented, Financial Services, Fixed Income Investments, Investment Management, Investment Services, Legal, Maintain Compliance, Microsoft Excel, Microsoft Office, Microsoft Word, Monitor Regulations, Organizational Skills, Presentation/Verbal Skills, Private Funding, Problem Solving Skills, Process Improvement, Regulations, Regulatory Compliance, Regulatory Reports, Regulatory Requirements, Risk Management, Surveillance, Team Player, Testing, Writing Skills
A globally recognized investment management organization is seeking a detail-oriented and motivated Compliance Consultant for a temporary opportunity within its Legal and Compliance team. The firm is known for its strong presence in fixed income markets and its growing focus on alternative investments and private fund strategies.
- Location: Newport Beach, CA
- Work Schedule: Hybrid 4 Days Onsite / 1 Day Remote
- Pay Rate: $5060/hour
Why Youll Love This Opportunity
- Be part of a highly respected investment management environment with exposure to global compliance operations
- Help enhance and modernize compliance processes through innovative technology solutions
- Contribute directly to regulatory monitoring and testing efforts that support business integrity and risk management
- Partner with cross-functional teams to strengthen compliance practices and operational controls
- Expand your experience within a fast-moving and collaborative financial services setting
What Youll Do
- Assist in the execution and enhancement of compliance programs alongside global compliance teams
- Develop and improve workflows utilizing compliance technology platforms to increase efficiency and effectiveness
- Coordinate compliance-related projects, including timelines, stakeholder updates, and resource tracking
- Perform monitoring, surveillance, and testing activities tied to company compliance policies and procedures
- Support regulatory reporting efforts and help ensure alignment with changing regulatory requirements
- Work closely with internal departments to identify opportunities for process improvements and stronger controls
- Adapt quickly to evolving priorities while taking initiative on assigned responsibilities
Qualifications
- Bachelors degree
- Prior experience in regulatory compliance, investment management, or related financial services environments
Experience & Skills Needed
- At least 2 years of compliance or related regulatory experience within investment management or financial services
- Familiarity with U.S. investment adviser and broker-dealer regulations, including FINRA Rules and the Investment Advisers Act
- Strong analytical thinking, organizational abilities, and problem-solving skills
- Experience using compliance technology platforms or vendor systems
- Proficient in Microsoft Office applications, particularly Word and Excel
- Strong written and verbal communication skills with the ability to collaborate effectively across teams
- Ability to manage competing priorities in a fast-paced environment
There are no costs for candidates utilizing our services as our clients pay for all related hiring fees. All ProPivotal job postings are either actual positions we had available at the time of posting and/or are representative of positions we typically fill or expect to fill. If you see a job that interests you, respond to the ad or give us a call so that we can help you find a job you'll love. As one of the area's largest staffing firms, we help 2,500 people find jobs a year so chances are good that we can help you too.
ProPivotal is an equal opportunity employer and considers qualified applicants for employment regardless of race, gender, gender identity, gender expression, age, color, religion, disability, veteran's status, sexual orientation, or any other protected factor.
PandoLogic. Keywords: Regulatory Affairs Consultant, Location: Newport Beach, CA - 92658