Registered Funds Compliance Officer - Global Wealth
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The role
Provide guidance and support on compliance for the Regulated Funds platform, including 40 Act matters.
Advise on transactions subject to co-investment orders and other transactional matters to ensure regulatory compliance.
Maintain current expertise on the regulatory environment and implement new rule changes for the funds.
Conduct annual risk assessments of Regulated Funds and escalate issues promptly.
Participate in internal and external audits and coordinate with Global Wealth, product development, and governance teams.
Develop and maintain compliance policies, procedures, and controls to mitigate product-specific risks.
Advise on transactions subject to co-investment orders and other transactional matters to ensure regulatory compliance.
Maintain current expertise on the regulatory environment and implement new rule changes for the funds.
Conduct annual risk assessments of Regulated Funds and escalate issues promptly.
Participate in internal and external audits and coordinate with Global Wealth, product development, and governance teams.
Develop and maintain compliance policies, procedures, and controls to mitigate product-specific risks.
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