Compliance assistant - trade surveillance - united states, mascara

title: compliance assistant (contract)
location: newport beach, ca (onsite required)
6+ month contract

responsibilities:
the compliance assistant position is a 6-month commitment. responsibilities are expected to include:

review daily surveillance reports of firm transactionsperform forensic reviews of market-abuse and e-surveillance alertsfollow-up with trade floor personnel on report outliers and escalate potential issues as appropriate to members of surveillance teamassist compliance personnel with various projects and ad hoc tasks

requirements:

undergraduate degree, preferably with a major in business, economics, finance, or related fieldgeneral understanding of bonds, equities and derivatives1-2 years of previous compliance preferred not required, including experience in monitoring firm tradingtechnical aptitude with microsoft excel, including excel formulas (e.g., vlookups, pivot tables), word and powerpointstrong verbal/written communication skillsability to work in a self-directed manner, proactively identifying issues and being solution-orientedtake initiative to lead projects and follow-up on outstanding itemsstrong organizational and analytical skills, high attention to detail, and problem solving abilitybe highly communicative regarding project progress, and escalate any challenges/bottleneckshave a high degree of discretion and ability to safeguard confidential informationhave a strong sense of integrity, behaving consistently with expressed values and ethical principles of pimcocompliance assistant

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