Interface with the compliance team, management, operations, or legal, as appropriate, to communicate, coordinate and resolve issues and respond to requests
Counsel business associates on regulatory and compliance requirements
Coordinate with the firm's outside service providers to ensure regulatory filings are made timely and accurately.
Update and file all required regulatory filings including, but not limited to ADVs and other periodic filings
Update and amend Compliance Manual, Code of Ethics and other compliance policies and procedures.
Conduct reviews and prepare reports on the investment adviser's brokerage practices and best execution.
Perform Annual Compliance Review, Risk Assessment Review, Employee Compliance Training and Marketing Materials Review
Engage in special projects, initiatives, and other activities of an ad hoc nature.
Qualifications:
In-depth knowledge of SEC and Client broker-dealer regulation and regulatory environment
Strong experience with Investment Advisor laws
Familiarity within a regulatory, legal, compliance or business capacity
This position pays $150,000-$180,000 as a base salary.
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Other
Industries
IT Services and IT Consulting
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