15 Investment Compliance Jobs in Newport Beach, CA
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Code of Ethics Compliance Analyst Ultimate Staffing - Newport Beach, CA, United States and monthly data uploads Contributing to the personal trading system's development life cycle, including testing system changes and providing business sign-off Managing the quarterly compliance certification 24 days ago
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Senior Associate, Alternatives Fund Finance (Private Equity) PIMCO - Newport Beach, United States multiple strategies and multiple vehicle types (hedge fund and private equity). The Alternatives Funds Finance Team leads the overall financial accounting and control, tax structuring and compliance Competitive Yesterday
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Code of Ethics Compliance Consultant INSPYR Solutions - Newport Beach, California broker feed, monthly data uploads) Contribute to personal trading system's development life cycle (e.g., test system changes to provide business sign-off) Manage quarterly compliance certification launch 6 days ago
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Analyst, Investment Guideline Compliance (Newport Beach) PIMCO - Newport Beach, United States & Compliance department managing investment guidelines in PIMCO's proprietary compliance system. The Guidelines Team is responsible for interpreting and implementing client, regulatory, and internal guidelines Competitive 20 days ago
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Analyst, Trade Compliance (Newport Beach) PIMCO - Newport Beach, United States and equity trades, on a pre and post trade basis, to ensure compliance with applicable restrictions. The Analyst will have broad exposure to the entire Investment Guideline Compliance process. Individuals Competitive 19 days ago
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In House Counsel Jobs California | JDHuntr 49245 Senior Compliance Officer, Newport Beach, CA In House Jobs | JDHuntr - Newport Beach, CA In House Counsel Jobs California | JDHuntr 49245 Senior Compliance Officer, Newport Beach, CA To apply go to JDHuntr.com Support the development and implementation of the investment adviser More than 30 days ago
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Accounting Manager (Mostly Remote) Robert Half - Irvine, CA, United States Perform weekly/monthly cash projections for rolling 15 months, including cash payments for investment hires, M&A and share repurchases. Prepare lender compliance calculations, certifications and related 2 days ago
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Private Wealth Analyst DJM Financial | Northwestern Mutual Private Client Group - Irvine, CA, United States of the firm. May rely on technical experts within the firm to help develop planning recommendations. • Attend approximately 3+ client meetings per week with primary advisor. • Ensuring investment and insurance 5 days ago
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Chief Investment Officer(CIO) Partner(s) -- Remote | WFH Get It Recruit - Finance - Irvine, California planning, forecasting, and budgeting processes to optimize financial performance across all projects. Risk Management: Identify and mitigate financial risks associated with investments, ensuring compliance 5 days ago
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Chief Financial Officer The Hiring Advisors - Irvine, CA, United States planning and annual action definition, aiming at defining, monitoring and reaching the goals for the company Responsible for the planning and control of the cash flow, financial investments, support 11 days ago
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