Ethics & Compliance Business Unit Specialist jobs in California

Ethics & Compliance Business Unit Specialist supports and coordinates the activities of the organization's global ethics and compliance function. Assists with the delivery and maintenance of programs to assess and manage legal and regulatory compliance risks and establish high ethical standards of conduct for the organization. Being an Ethics & Compliance Business Unit Specialist prepares materials that communicate the organization's ethical standards, policies, and regulations. Supports or delivers employee training programs that raise awareness about ethics-related topics such as Anti-Bribery, Anti-Corruption, Antitrust, Conflicts of Interest, and others. Additionally, Ethics & Compliance Business Unit Specialist generates reports of compliance monitoring statistics, investigations, outcomes, and remediations of any non-compliant actions. May administer reporting systems or helplines for employees, customers, contractors, and other stakeholders to disclose violations of the organization's ethical standards, violations of law, or policies without fear of retaliation. May require a bachelor's degree or equivalent. Typically reports to a manager or head of a unit/department. The Ethics & Compliance Business Unit Specialist occasionally directed in several aspects of the work. Gaining exposure to some of the complex tasks within the job function. To be an Ethics & Compliance Business Unit Specialist typically requires 2-4 years of related experience. (Copyright 2024 Salary.com)

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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

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Sr. Counsel, Ethics and Compliance
  • Marvell Semiconductor, Inc.
  • Santa Clara, CA FULL_TIME
  • About Marvell Marvell's semiconductor solutions are the essential building blocks of the data infrastructure that connects our world. Across enterprise, cloud and AI, automotive, and carrier architect...
  • 1 Month Ago

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Ethics & Legal Compliance Summer Internship
  • 1000 KLA Corporation
  • Milpitas, CA FULL_TIME
  • Base Pay Range: $26.00 - $38.00 per hour based on pursuit of a Bachelor’s, Master’s, or Ph.D. Primary Location: USA-CA-Milpitas-KLA KLA’s total rewards package for employees may also include participa...
  • 5 Days Ago

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Ethics & Legal Compliance Summer Internship
  • KLA
  • Milpitas, CA FULL_TIME
  • Base Pay Range: $26.00 - $38.00 Annually based on pursuit of a Bachelors and MastersPrimary Location: USA-CA-Milpitas-KLAKLA's total rewards package for employees may also include participation in per...
  • 8 Days Ago

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Business Development Specialist - Sacramento
  • Treatment Placement Specialist - Sacramento
  • California, CA FULL_TIME
  • Overview **REMOTE in Sacramento** If you are a highly motivated sales professional with a desire to change lives then Acadia Healthcare is the ideal opportunity for you. We are looking for self-starte...
  • 22 Days Ago

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Environmental Specialist (CA)
  • U.S. Compliance
  • Sacramento, CA FULL_TIME
  • U.S. Compliance: Searching for high-performing environmental professionals who want to make a difference. Join our fast-growing EHS compliance firm to help us CARE for people, PROTECT the environment ...
  • 1 Month Ago

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Material Compliance Specialist
  • MacLean-Fogg
  • Mundelein, IL
  • Material Compliance Specialist Mundelein, IL, 1000 Allanson Road, Mundelein, Illinois, United States of America Req #337...
  • 3/29/2024 12:00:00 AM

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HIPAA Compliance Expert
  • Eagle Consulting Partners, Inc.
  • Cleveland, OH
  • At Eagle Consulting Partners, we provide cybersecurity, compliance, and IT risk management consulting to Small and Mediu...
  • 3/28/2024 12:00:00 AM

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Financial Compliance Specialist
  • Virginia Tech University
  • Blacksburg, VA
  • The Office of Sponsored Programs at Virginia Tech, a central university department under the Office of Research and Inno...
  • 3/28/2024 12:00:00 AM

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Personal and Work Life Core Compliance Expert
  • Ladgov Corporation
  • Montgomery, AL
  • Major Duties and Responsibilities Provide family-focused education and support services. Conduct initial and crisis asse...
  • 3/28/2024 12:00:00 AM

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Compliance Specialist
  • APTIM
  • West Union, WV
  • At APTIM, we come to work each day knowing that we are making an impact on the world. Our work spans from safeguarding a...
  • 3/28/2024 12:00:00 AM

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Compliance Specialist
  • King City Gardens
  • Cincinnati, OH
  • Qualifications -Stipulation of employment is passing an OHIO BCI and FBI background check in accordance with ORC/OAC 379...
  • 3/28/2024 12:00:00 AM

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Compliance Specialist
  • VP Racing Fuels
  • San Antonio, TX
  • Job Description Job Description Company Overview: VP Racing Fuels is the world’s leader in fuel technology. From a singl...
  • 3/27/2024 12:00:00 AM

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EMEA Trade Compliance Specialist
  • Arrow Electronics, Inc.
  • Sevenum, Limburg
  • Position: EMEA Trade Compliance Specialist Job Description: As Arrow Global Components (AGC), a part of Arrow Electronic...
  • 3/11/2024 12:00:00 AM

California is a state in the Pacific Region of the United States. With 39.6 million residents, California is the most populous U.S. state and the third-largest by area. The state capital is Sacramento. The Greater Los Angeles Area and the San Francisco Bay Area are the nation's second and fifth most populous urban regions, with 18.7 million and 9.7 million residents respectively. Los Angeles is California's most populous city, and the country's second most populous, after New York City. California also has the nation's most populous county, Los Angeles County, and its largest county by area, S...
Source: Wikipedia (as of 04/11/2019). Read more from Wikipedia
Income Estimation for Ethics & Compliance Business Unit Specialist jobs
$82,699 to $108,160