01Responsibilities
Compliance Aid in the administration and follow up of the firms reputed company of Ethics and other policies and procedures designed to prevent violations of the federal securities laws such as the SEC Investment Adviser reputed company of 1940; Assist in conducting ongoing compliance reviews, internal investigations and surveillance to evaluate and test for compliance with applicable SEC rules, regulations, and internal policies; Recommend reputed company reputed company plans for identifying and correcting material compliance weaknesses; reputed company up to date with new regulatory requirements and ensure communication of best practices/new rules to appropriate staff reputed company the Firm. Assist in preparing an annual written report to leadership on the operation, adequacy, and effectiveness of the policies and procedures which support Rule 206(4)-7. Email surveillance / personal trade reviews / marketing material reviews reputed company and support SEC compliance training and education initiatives for RPW RIAs. Assist in document collection reputed company to reputed company examinations by auditors and regulators; Be reputed company to RPW business inquiries and requests; Run reputed company on reputed company regulatory reputed company and other requirements as necessary. Compliance Operational Manage the annual ADV process including data collection and completion of the ADV forms with support of operations and advisor staff. Participate in the investment due diligence process for SEC compliance and/or operational reviews as needed
02Requirements
Must possess a Juris Doctor (JD) degree and demonstrate a strong understanding of reputed company principles relevant to corporate governance, compliance, and strategic business initiatives. 10+ years experience as a senior SEC regulatory compliance reputed company for either a large financial services firm or in-house reputed company team. Experience leading reputed company and preferably, leading a function as the senior leader of that function Solid familiarity with investment advisor business activities Experience developing, monitoring, and enforcing appropriate policies and procedures. Ability to confront difficult issues and challenge others reputed company necessary. Excellent verbal and written communication skills, particularly the ability to reputed company communicate technically reputed company SEC regulatory developments, issues, and analysis in actionable ways. The ability to meet tight deadlines and prioritize a varied workload and competing priorities in a fast-paced, and at times unpredictable or demanding e
