Regulatory Compliance Analyst (Automation)
Roth Staffing Companies

Job Info

This role offers an exciting opportunity within the Legal & Compliance department, supporting a proprietary compliance system. The Rule Automation Team is responsible for accurately coding and automating client, regulatory, and internal guidelines within the compliance system.

The Analyst will gain broad exposure to the entire Investment Guideline Compliance process.

• Location: Newport Beach, CA In office

• Hours: 8am-5pm

• Payrate: $30-$33

• Skills: Advanced Excel

Duties:

• Daily tasks may include creating, automating, and maintaining compliance rules based on investment guidelines and regulations.

• Ensuring accurate reflection of guideline interpretations of accounts' restrictions in the compliance system is a key responsibility.

• Addressing inquiries regarding the status or functionality of compliance rules through research and investigation is part of the role.

• Testing and implementing new functionalities within the compliance system contribute to ongoing improvement efforts.

• Participation in numerous analytical and technical ad hoc projects aimed at automating account guideline compliance is expected.

Requirements:

* Minimum of a Bachelor's Degree (Accounting, Business, Finance or Economics preferred)

* 0 - 3 years of professional experience in compliance or the investment management industry

* Basic knowledge of the global equity and fixed income markets, including an understanding of financial products such as bonds, equities, and derivatives.

* Intermediate/advanced working knowledge of MS Excel.

* Experience with coding in a compliance system is ideal

* Exposure to querying, particularly with SQL and Business Objects

* Experience with Bloomberg

* CFA designation or active status 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 City of Los Angeles' Fair Chance Initiative for Hiring Ordinance.