Compliance Officer and Counsel
仕事内容
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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