Overview
Compliance Specialist Jobs in Newport Beach, CA at KORE1
Title: Compliance Specialist
Company: KORE1
Location: Newport Beach, CA
KEY RESPONSIBILITIES
Support the development and implementation of the broker-dealer compliance program, working closely with members of the Compliance Department globally to drive enhancement and ensure consistency globally.
Build and implement compliance vendor technology workflows to facilitate pre-approval requirements, ensuring regulatory alignment and operational efficiency.
Manage project timelines, resources, and stakeholder communications to ensure successful delivery of compliance initiatives and technology solutions.
Perform surveillance and testing associated with the firm’s compliance policies and procedures.
Collaborate with Client Facing. Sales, Legal, Administrative Services, and other departments to identify and enhance compliance processes and controls.
Must take initiative in learning and applying new skillsets.
Proactively respond to business and regulatory changes.
Have a strong sense of integrity, behaving consistently with expressed values and ethical principles of the company.
POSITION REQUIREMENTS
Excellent problem-solving skills
Experience using and implementing technology solutions, preferably with a focus on compliance vendor systems
Excellent communication and presentation skills; the ability to articulate clear ideas/strategies, both verbally and in writing, internally and externally
Intelligent, bright, critical thinker, and a quick learner with the ability to quickly assess a situation and generate new insights and usable ideas
Service-oriented; the ability to balance regulatory and policy standards along with a business perspective
A highly motivated self-starter with the willingness to ‘roll up your sleeves’ and the ability to drive change
Exceptional organizational skills: the ability to effectively prioritize tasks, follow up, produce consistently accurate work, and meet strict deadlines
Highly flexible, multi-task oriented: capable of rapidly changing directions based on business demands
Consensus builder and team player with the ability to work well within a matrixed organization
Demonstrated self-awareness, cultural skills, and sensitivities to work effectively in a global organization
Working knowledge of MS Office Suite, including Word and Excel, with a strong desire to learn and master new software solutions.
ROLE REQUIREMENTS
Minimum 2 years of regulatory compliance experience, or related experience, with a large and diverse investment management firm serving in a compliance function.
An undergraduate degree is required
* General knowledge of regulatory requirements applicable to US investment managers and broker-dealers, including the Investment Advisers Act and FINRA Rules
Background in fixed income, alternatives, derivatives, commodities and equity strategies offered in a variety of investment products including (i.e., open-end mutual funds, closed-end funds, ETFs, separate accounts and private funds) is a plus.
