Ethics & Compliance Training Specialist jobs in Newhall, CA

Ethics & Compliance Training Specialist conducts needs analyses and designs and implements ethics, business conduct and compliance training and development programs. Interfaces with multiple functional groups outside the ethics and compliance office to ensure curriculum content and methods meet legal, regulatory and corporate objectives. Being an Ethics & Compliance Training Specialist participates in the development and implementation of classroom, web-based and other media training programs for all employees designed to promote knowledge of the corporate code of conduct policies, legal and regulatory requirements of the organization's business. Coordinates with and ensures a uniform level of ethics and compliance training among operating units of the corporation. Additionally, Ethics & Compliance Training Specialist coordinates both internal and external resources required by the program. Provides technical expertise, evaluates content and makes recommendation on incorporating all facets of corporate training programs into the business operation. Requires a bachelor's degree in area of specialty. Typically reports to a manager or head of a unit/department. To be an Ethics & Compliance Training Specialist typically requires 4 to 7 years of related experience. Contributes to moderately complex aspects of a project. Work is generally independent and collaborative in nature. (Copyright 2024 Salary.com)

I
Associate, Compliance (Code of Ethics)
  • Inclusively
  • Culver, CA FULL_TIME
  • Inclusively is partnering with a alternative investment management company to hire a Associate, Compliance (Code of Ethics).

    ABOUT INCLUSIVELY:

    Inclusively is a digital tech platform that connects candidates with disabilities, who may benefit from workplace accommodations, to inclusive employers. This includes all disabilities under the ADA, including mental health conditions (e.g. anxiety, depression, PTSD), chronic illnesses (e.g. diabetes, Long COVID), and neurodivergence (e.g. autism, ADHD). Applicants with one or more of these conditions are encouraged to apply; Inclusively does not require applicants to disclose their specific disability.

    Reporting relationships

    Reports to: Associate Vice President, Compliance | Los Angeles

    Supervises: n/a

    Primary functions & responsibilities

    • Be a daily resource to global employee base on compliance questions and issues and work closely with the US Corporate Compliance team on ongoing needs and challenges
    • Help maintain internal procedures and training materials that are critical to the effectiveness and continuity of the Corporate Compliance program
    • Support the onboarding of new employees into our compliance program including, i) new hire access activation; ii) new hire training and disclosure form tracking; iii) tracking current employee statuses for certifications/access maintenance; and iv) tracking temporary workers
    • Support a smooth offboarding process for terminated employees
    • Assist with critical Code of Ethics responsibilities such as: i) employee broker account classification and onboarding for both feed- and non-feed eligible accounts; ii) broker statement reconciliation; iii) administration and maintenance of employees’ managed accounts; iv) periodic unknown account reconciliation; and v) electronic transaction reconciliation
    • Help maintain, track and report key performance indicators/metrics for Corporate Compliance team as assigned
    • Assist with Corporate Compliance related projects and initiatives such as addressing and clearing Code of Ethics related cases, and assessing engagements for existing contingent workers
    • Assist in processing and escalating Code of Conduct matters including pre-clearance of business gifts and entertainment and political contributions as well as Conflict of Interest policy matters such as employee outside business activity requests
    • Investigate and resolve or escalate any discrepancies or exceptions identified in the daily course of business

    qualifications:

    Education:

    • Bachelor’s degree required

    Experience Required:

    • 3-5 years of compliance and/or paralegal experience within the financial services industry

    General Requirements:

    • General knowledge of SEC regulatory framework and understanding of material non-public information ("MNPI")
    • Familiarity with trading and compliance systems such as StarCompliance, would be an added advantage
    • Data entry; comfortable with certain repetitive tasks and willing to be a subject matter expert on matters pertaining to Code of Ethics administration
    • Outstanding initiative, motivation, and detail orientation with strong work ethic and excellent organizational skills
    • Responsible individual with a strong sense of integrity and dedication
    • Demonstrates excellent written, verbal, and interpersonal skills
    • Possesses the ability to quickly build credibility and gain confidence of individuals at all levels
    • Team-oriented and eager to partner with colleagues to achieve shared goals

    Consider for employment qualified applicants with criminal histories in a manner consistent with the requirements of the Fair Chance Initiative for Hiring Ordinance.

    Job Type: Full-time

    Schedule:

    • Monday to Friday
    • Weekend availability

    Work Location: In person

  • 10 Days Ago

T
Compliance Specialist
  • Two Coast Living
  • Los Angeles, CA FULL_TIME
  • Job Description: We are seeking a highly organized and detail-oriented Multi-Family Regulatory Compliance Specialist to join our team. The ideal candidate will have a strong understanding of regulator...
  • 13 Days Ago

A
Compliance Specialist
  • Aperto Property Management, Inc.
  • Los Angeles, CA FULL_TIME
  • Aperto Property Management, Inc. is a full-service, fee-based apartment management company for conventional and affordable multi-housing communities. At Aperto, our mission is to simply be the best ap...
  • 1 Month Ago

O
Compliance Training and Monitoring Manager
  • Options For Learning
  • Baldwin, CA FULL_TIME
  • DescriptionAbout our organization Since 1981, Options for Learning has been at the forefront of helping families break the cycle of poverty and improve their lives by providing tools to create a posit...
  • 2 Days Ago

A
Client Care Specialist (Part Time- Hybrid)
  • Aion Training
  • Pasadena, CA PART_TIME
  • Are you an energetic and detail-oriented individual who thrives on making a positive impact in people's lives?Do you have a passion for organization, community engagement, and client care?Aion Trainin...
  • 11 Days Ago

M
TEAP Specialist
  • Management & Training Corporation
  • Los Angeles, CA FULL_TIME
  • Overview Wage - $28.00 per hour Our staff also enjoy these benefits: Health, dental, vision, prescription drug and life insurance 401(k) Short and long-term disability Paid time off and paid holidays ...
  • 1 Day Ago

Filters

Clear All

Filter Jobs By Location
  • Filter Jobs by companies
  • More

0 Ethics & Compliance Training Specialist jobs found in Newhall, CA area

D
Internal Revenue Agent (Examiner) - (Temp NTE 1 Year, MBE, MBMP) 12 MONTH ROSTER (AMENDED)
  • Department Of The Treasury
  • Valencia, CA
  • Duties WHAT IS THE SMALL BUSINESS/SELF EMPLOYED (SB/SE)DIVISION? A description of the business units can be found at: ht...
  • 3/27/2024 12:00:00 AM

D
Internal Revenue Agent (Fed State Local Gvmt Spec - Examiner) 12 MONTH ROSTER AMENDED
  • Department Of The Treasury
  • Valencia, CA
  • Duties WHAT IS THE TAX EXEMPT & GOVERNMENT ENTITIES (TE/GE) DIVISION? A description of the business units can be found a...
  • 3/27/2024 12:00:00 AM

D
Internal Revenue Agent (Examiner) - Direct Hire - Incentive eligible-AMENDED
  • Department Of The Treasury
  • Valencia, CA
  • Duties WHAT ARE THE APPEALS (AP), LARGE BUSINESS AND INTERNATIONAL (LB&I), SMALL BUSINESS SELF-EMPLOYED (SB/SE) AND TAX ...
  • 3/27/2024 12:00:00 AM

D
Internal Revenue Agent (Special Enforcement Program - Examiner) 12 MONTH ROSTER (Amended)
  • Department Of The Treasury
  • Valencia, CA
  • Duties WHAT IS THE SMALL BUSINESS/SELF EMPLOYED (SBSE) DIVISION? A description of the business units can be found at: ht...
  • 3/27/2024 12:00:00 AM

D
Supervisory Internal Revenue Agent (12 month roster) AMENDED
  • Department Of The Treasury
  • Valencia, CA
  • Duties WHAT IS THE LBI - LARGE BUSINESS AND INTERNATIONAL DIVISION? A description of the business units can be found at:...
  • 3/27/2024 12:00:00 AM

S
Affordable Housing Assistant Community Manager - Juniper Grove
  • Solari Enterprises, Inc.
  • Palmdale, CA
  • Job Description Job Description Position Overview Juniper Grove is an affordable housing community compromised of 101 un...
  • 3/25/2024 12:00:00 AM

U
Senior Security & Compliance Specialist (Big Four OR Fortune 500)
  • US Tech Solutions
  • Burbank, CA
  • Duration: 6+ Months Contract Description/Comment: • Responsible for planning, conducting, and reporting on third party a...
  • 3/24/2024 12:00:00 AM

D
AMENDED - Internal Revenue Agent (Tax Computation Specialist - Examiner) 12 MONTH ROSTER
  • Department Of The Treasury
  • Valencia, CA
  • Duties WHAT IS THE LARGE BUSINESS & INTERNATIONAL (LB&I) DIVISION? A description of the business units can be found at: ...
  • 3/24/2024 12:00:00 AM

Newhall is the southernmost and oldest community of Santa Clarita, California. Prior to the 1987 consolidation of Canyon Country, Saugus, Newhall, and other neighboring communities into the city of Santa Clarita, it was an unincorporated area. It was the first permanent town in the Santa Clarita Valley....
Source: Wikipedia (as of 04/11/2019). Read more from Wikipedia
Income Estimation for Ethics & Compliance Training Specialist jobs
$88,623 to $135,730
Newhall, California area prices
were up 3.2% from a year ago

Ethics & Compliance Training Specialist in San Bernardino, CA
It is a great opportunity to learn how a Corporate Legal and Compliance team operates, and build strong relationships in a growing career function.
December 15, 2019
Ethics & Compliance Training Specialist in Bellingham, WA
This position will have direct exposure to the WTS General Counsel, Communications Leaders, Training Leaders, and other leaders in each region.
February 01, 2020
Ethics & Compliance Training Specialist in Lebanon, PA
- Develop and implement refresher training, when/where appropriate.
December 14, 2019