Compliance Consultant
Financial Services
Temporary
Newport Beach, California
Hybrid
$60
Financial Services
Hybrid
$60
Newport Beach, California
Temporary
A leading global investment management organization is seeking a Compliance Consultant to join its Legal and Compliance Department in Newport Beach, California, on a temporary basis. The role offers an hourly rate of up to $60.00 per hour.
Work Arrangement
- Hybrid schedule: 4 days on-site, 1 day remote
Why This Job Is Awesome / Your Impact
- Contribute to the ongoing development and enhancement of compliance programs within a well-respected organization
- Support innovative technology solutions to streamline compliance operations
- Play a key role in monitoring, testing, and reporting activities that uphold regulatory standards
- Collaborate across diverse departments, promoting a proactive and ethical compliance culture
- Gain valuable experience within a globally recognized firm specializing in fixed income and alternative investments
Responsibilities
- Support compliance program development and implementation in coordination with global teams
- Build and optimize workflows using compliance technology tools to enhance operational efficiency
- Manage project timelines, stakeholder communication, and resources for compliance initiatives
- Conduct surveillance, monitoring, and testing of compliance policies and procedures
- Assist with regulatory reporting requirements and stay current with evolving compliance standards
- Collaborate effectively with various departments to strengthen controls and compliance practices
- Demonstrate initiative and adaptability in a dynamic environment
Credentials
- Bachelor's degree required
Required Experience and Skills
- Minimum of 2 years of regulatory compliance experience in investment management or related fields
- Knowledge of U.S. investment adviser and broker-dealer regulations, including the Investment Advisers Act and FINRA Rules
- Strong analytical, problem-solving, and organizational skills
- Experience with compliance technology and vendor systems
- Proficiency in Microsoft Office Suite, especially Word and Excel
Disclaimer: 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.
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About ProPivotal
ProPivotal (formerly Professional Staffing Group - PSG) has proudly served the Boston area for 30 years and specializes in Healthcare, Asset Management & Financial Services, Higher Education, Accounting & Finance, Professional & Administrative, and Technology staffing. Recognized as a 16-year honoree of ClearlyRated's Best of Staffing Awards, our team has supported over 4,250 companies, placed 95,000 successful hires, and billed more than 21 million talent hours. With every placement, we live out our commitment to be a trusted partner you can count on.
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