QualStaff Resources · 17 hours ago
Compliance Associate
San Diego, CA
Contract
Hybrid
Entry Level
$38/hr - $38/hr
1+ years expQualStaff Resources is focused on the financial services industry, and they are seeking a Compliance Associate. The role involves supporting the Annual Compliance Review and testing compliance procedures related to investment guidelines and regulations across various departments.
DeliveryHuman ResourcesInformation TechnologyStaffing Agency
Responsibilities
Complete tasks supporting our Annual Compliance Review
Test compliance procedures associated with investment guidelines and restrictions mandated by the Adviser’s clients and applicable rules/regulations for multiple internal departments/business units
Assist in the administration of Compliance Policies including:
Code of Ethics and personal trading
Registration
Anti-Money Laundering
Investor relations and issuer requests
Marketing and social media reviews
Qualification
Required
1-3 years of experience in compliance within the financial services industry
Bachelor's degree in Finance, Accounting, Business Administration, or related field
Excellent communication and interpersonal skills
Company
QualStaff Resources
QualStaff Resources is a staffing and recruiting company providing employment solutions.
501-1000 employees
Funding
Current Stage
Late StageCompany data provided by crunchbase