Opportunity Description
Job Description
Support the Chief Compliance Officer in designing and managing compliance programs for affiliated registered investment advisersServe as a key advisor to investment, product, legal, distribution, and operations teams on compliance considerations related to new business initiatives and product developmentHelp cultivate a strong compliance culture by driving awareness of regulatory expectations and encouraging early incorporation of compliance perspectivesDraft, review, and enhance policies and procedures aligned with the Investment Advisers Act and other applicable regulationsPrepare required regulatory filings and documentationOversee periodic compliance risk assessments and contribute to the development of mitigation plansAssist with regulatory examinations, inquiries, and related responsesAnalyze complex regulatory or business issues and provide practical, risk‑aligned recommendatio...
FULL_TIME
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