Compliance Officer and Counsel
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Die Stelle
Provide strategic legal counsel and compliance leadership across investment management operations.
Develop, implement, and maintain policies, procedures, and internal controls to ensure SEC, FINRA, and securities-law compliance.
Oversee annual reviews (e.g., 206(4)-7), monitoring, risk assessments, and adherence to the Code of Ethics.
Draft, review, and negotiate vendor, client, and corporate agreements; review marketing materials and research publications.
Advise on legal and regulatory matters under the Investment Advisers Act and related securities laws; support regulatory filings, examinations, and audits.
Collaborate with Human Resources on employment matters and foster a culture of integrity, collaboration, and accountability.
Develop, implement, and maintain policies, procedures, and internal controls to ensure SEC, FINRA, and securities-law compliance.
Oversee annual reviews (e.g., 206(4)-7), monitoring, risk assessments, and adherence to the Code of Ethics.
Draft, review, and negotiate vendor, client, and corporate agreements; review marketing materials and research publications.
Advise on legal and regulatory matters under the Investment Advisers Act and related securities laws; support regulatory filings, examinations, and audits.
Collaborate with Human Resources on employment matters and foster a culture of integrity, collaboration, and accountability.
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